NORTH CAROLINA
REGISTER
RECEIVED
DEQ 1 1998
KATHRWE R. EVERETT
JAWHaRARY
VOLUME 13 • ISSUE 1 1 • Pages 855 - 940
December 1, 1998
IN THIS ISSUE
Athletic Trainer Examiners, Board of
Cosmetic Art Examiners Board of
Dental Examiners
Environment and Natural Resources
Health and Human Services
Pharmacy, Board of
Revenue
Transportation
Rules Review Commission
Contested Case Decisions
PUBLISHED BY
The Office of Administrative Hearings
Rules Division
PO Drawer 27447
Raleigh, NC 27611-7447
Telephone (919) 733-2678
Fax (919) 733-3462
This publication is printed on permanent, acid-free paper in compliance with G.S. 125- 11.13
For those persons that have questions or concerns regarding the Administrative Procedure Act or any of its
components, consult with the agencies below. The bolded headings are typical issues which the given ^
agency can address, but are not inclusive.
Rule Notices, Filings, Register, Deadlines. Copies of Proposed Rules, etc.
Office of Administrative Hearings
Rules Division
Capehart-Crocker House (9 1 9) 733-2678
424 North Blount Street (9 1 9) 733-3462 FAX
Raleigh, North Carolina 27601-2817
contact: Molly Masich, Director APA Services
Ruby Creech, Publications Coordinator
mmasich@oah.state.nc.us
rcreech@oah.state.nc.us
Fiscal Notes & Economic Analysis
Office of State Budget and Management
116 West Jones Street
Raleigh, North Carolina 27603-8005
contact: Mark Sisak, Economist III
(919)733-7061
(919) 733-0640 FAX
msisak@osbm.state.nc.us
Rule Review and Legal Issues
Rules Review Commission
1307 Glenwood Ave., Suite 159
Raleigh, North Carolina 27605
contact: Joe DeLuca Jr., Staff Director Counsel
Bobby Bryan, Staff Attorney
(919)733-2721
(919) 733-9415 FAX
Legislative Process Concerning Rule-making
Joint Legislative Administrative Procedure Oversight Committee
545 Legislative Office Building
300 North Salisbury Street (919) 733-2578
Raleigh, North Carolina 276 11 (919) 715-5460 FAX
contact: Mar>' Shuping, Staff Liaison
marys@ms.ncga.state.nc.us
County and Municipality' Government Questions or Notification
NC Association of County Commissioners
2 1 5 North Dawson Street (9 1 9) 7 1 5-2893
Raleigh, North Carolina 27603
contact: Jim Blackburn or Rebecca Troutman
NC League of Municipalities
2 1 5 North Dawson Street
Raleigh, North Carolina 27603
contact: Paula Thomas
(919)715-4000
This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11. 13
NORTH CAROLINA
REGISTER
IN THIS ISSUE
»
II.
RULE-MAKING PROCEEDINGS
Environment and Natural Resources
Health Services, Commission for 855 - 856
Wildlife Resources Commission 855
PROPOSED RULES
Environment and Natural Resources
Wildlife Resources Commission 905 - 906
Health and Human Services
Social Services Commission 857 - 905
I
Volume 13, Issue 11
Pages 855 - 940
December 1, 1998
This issue contains documents officially filed
through November 5. 1998.
Office of Administrative Hearings
Rules Division
424 North Blount Street (27601)
PC Drawer 27447
Raleigh. NC 2761 1-7447
(919)733-2678
FAX (919) 733-3462
Julian Mann III. Director
Camille Winston. Deputy' Director
Molly Masich, Director of APA Services
Ruby Creech. Publications Coordinator
Jean Shirley. Editorial Assistant
Linda Dupree. Editorial Assistant
Jessica Flowers, Editorial Assistant
III. TEMPORARY RULES
Environment and Natural Resources
Wildlife Resources Commission 907 - 910
Licensing Boards
Dental Examiners, Board of 910
Pharmacy, Board of 910-911
IV. APPROVED RULES 912-917
En\'ironment and Natural Resources
Coastal Management
Environmental Management
Health Services
Wildlife Resources
Health and Human Services
FacilitN Services
Licensing Boards
Athletic Trainer Examiners. Board of
Cosmetic Art Examiners. Board of
Revenue
Corporate Franchise. Income, and Insurance Taxes
Transportation
Highways. Division of
V. RULES REVIEW COMMISSION 918-920
VI. CONTESTED CASE DECISIONS
Index to ALJ Decisions 92 1 - 927
Text of Selected Decisions
97EHR 1388 928-932
98 ABC 0293 933-934
98 DOJ 0046 935-940
VII. CUMULATIVE INDEX 1-67
I
\orih Carolina Register is published senii-montlil\ tor $195 per \ear h\ the Oftlee of Adniinistrati\e Hearings. 424 North Blount Street. Raleigh. NC
27601 (ISSN 15200604) to mail al Periodicals Rates is paid at Raleigh. NC POSTMASTER: Send Address changes to the \orih Carolina Regisler.
PO Drawer 27447. Ralemh. NC 2761 1-7447
NORTH CAROLINA ADMINISTR.4TIVE CODE CLASSIFICATION SYSTEM
The North Carolina Administrative Code (NCACi has four major subdivisions oj rules. Two of these, titles and chapters,
are mandatory. The major subdivision of the NCAC is the title. Each major department in the North Carolina executive
branch of government has been assigned a title number. Titles are further broken down into chapters which shall be
numerical in order. The other two. subchapters and sections are optional subdivisions to be used by agencies when
appropriate.
TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE
TITLE
DEPARTMENT
LICENSING BOARDS
CHAPTER
1
Admini^iration
Acupuncture
1
2
Agriculture
Architecture
2
3
Auditor
Athletic Trainer Examiners
3
4
Commerce
Auctioneers
4
5
Correction
Barber Examiners
6
fi
Council of State
Certified Public Accountant Examiners
8
7
Cultural Resources
Chiropractic Examiners
10
8
Elections
Emplo>ee Assistance Professionals
11
9
Go\emor
General Contractors
12
10
Health and Human Ser\ ices
Cosmetic Art Examiners
14
11
Insurance
Dental Examiners
16
12
Justice
Dietetics/"Nutrition
17
13
Labor
Electrical Contractors
18
14A
Crime Control & Public Safet\
Electrohsis
19
15A
En\ ironment and Natural Resources
Foresters
20
16
Public Education
Geologists
21
17
Revenue
Hearing Aid Dealers and Fitters
l"^
18
Secretar. of State
Landscape Architects
26
19A
Transportation
Landscape Contractors
28
2(1
Treasurer
Marital and Family Therapx
31
*21
Occupational Licensing Boards
Medical Examiners
32
T)
Administrati\e Procedures (Repealed)
Midwiferx Joint Committee
33
23
Communit) Colleges
Mortuan. Science
34
24
Independent Agencies
Nursing
36
25
State Personnel
Nursing Home Administrators
37
26
Administrative Hearings
Occupational Therapists
38
27
NC State Bar
Opticians
40
Optometp.'
42
Osteopathic Examination & Reg. (Repealed)
44
Pastoral Counselors. Fee-Based Practicing
45
Pharmac\
46
Ph\sical Therap\ Examiners
48
Plumbing. Heating & Fire Sprinkler Contractors
50
Podiatr. Examiners
52
Professional Counselors
53
Ps>cholog> Board
54
Professional Engineers & Land Surveyors
56
Real Estate .Appraisal Board
57
Real Estate Commission
58
Refrigeration Examiners
60
Sanitarian Examiners
62
Social Work Certification
63
Soil Scientists
69
Speech &, Language Pathologists & .Audiologists
64
Substance .Abuse Professionals
68
Therapeutic Recreation Certification
65
Veterinarv Medical Board
66
Note: Title 2 1 contains the chapters of the various occupational licensing boards.
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RULE-MAKING PROCEEDINGS
A Notice of Rule-making Proceedings is a statement of subject matter of the agency's proposed rule making. The agency must
publish a notice of the subject matter for public comment at least 60 days prior to publishing the proposed text of a rule.
Publication of a temporary rule serves as a Notice of Rule-making Proceedings and can be found in the Register under the
section heading of Temporary Rules. A Rule-making Agenda published by an agency ser\'es as Rule-making Proceedings and
can be found in the Register under the section heading of Rule-making .Agendas. Statutoiy reference: G.S. 1 50B-21.2.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
CHAPTER 10 - WILDLIFE RESOURCES AND
WATER SAFETY
Citation to Existing Rules Affected by this Rule-Making:
15A NC.4C I9A .0400. .0502(c)(6)(d). Other rules may be
proposed in the course of the rule-making process.
Authority for the rule-making: G.S. ] 30.4-1 52
SUBCHAPTER lOF
MOTORBOATS AND WATER
SAFETY
A Totice of Rule-making Proceedings is hereby given by the
1 V Wildlife Resources Commission in accordance with G.S.
150B-21.2. The agency shall subsequently publish in the
Resister the text of the rule(s) it proposes to adopt as a result of
this notice of rule-making proceedings and any comnients
received on this notice.
Statement of the Subject Matter: To institute a rule-change in
regard to the immunization program reporting requirements in
order to ensure that private providers of immunization services
to children have a fair and reasonable mechanism in which to
report doses administered information for the purpose of
vaccine accountability. This rule will he adopted as a
temporary rule with a proposed ejjective date oj December 1,
1998 at the November 13. 1998 Commission for Health Services
Meeting.
Citation to Existing Rules Affected by this Rule-Making:
15A NCAC lOF .0330. Other rules may be proposed in the
course of the rule-making process.
Authority for the rule-making: G.S. 75.4-3: "^5.4-15
Statement of the Subject Matter: Establish a no Make zone
within Carteret County.
Reason for Proposed Action: The Carteret Count}' Board of
Commissioners initiated the no-wake zo?ie pursuant to G.S. 75.4-
15 to protect public safet}' in the area by restricting vessel speed.
The Wildlife Resources Commission may adopt this rule as a
temporaiy rule pursuant to S.L. 199'' -0403 following this
abbreviated notice.
Comment Procedures: The record will be open for receipt of
written comments fi-om December I, 1998 to Febniaiy 1, 1999.
Such written comments must be delivered or mailed to the North
Carolina Wildlife Resources Commission. 512 A'. Salisbury
Street. NC 27604-1188.
W 5C W W
■K fc ye yt -K -x
WWWKWWKW
CHAPTER 19 - HEALTH: EPIDEMIOLOGY
SUBCHAPTER I9A - COMMUNICABLE DISEASE
CONTROL
A Totice of Rule-making Proceedings is hereby given by the
I V CO.MMISSION FOR HEALTH SERVICES in accordance
with G.S. 1503-21. 2. The agency shall subsequently publish in
the Register the text of the riile(s) it proposes to adopt as a result
of this notice of rule-making proceedings and any comments
received on this notice.
Reason for Proposed Action: The purpose of this action: To
change the reporting requirements as stated in 1 5.4 NCAC 19A
.0400. .0502(c)(6)(d) so that greater compliance and
accountability^ by the immunization program providers may be
achieved. This ammendment will ensure that private providers
of immunization services to children have a fair and reasonable
mechanism in which to accurately report doses administered
information to the Immunization Section for the purpose of
vaccine accountabiliry. Immunization projects ha\'e the primary
responsibility to develop and maintain vaccine accountabilit}'
systems to ensure provider compliance and to minimize vaccine
loss and wastage.
The existing rules were developed in 1993 when the Universal
Childhood Vaccine Distribution Program (UCVDP) began
providing state-supplied vaccine to less than 400 providers
across the state. One of the many goals of the UCVDP m'cis to
encourage more pediatricians and family physicians to
immunize children in their medical care home. At that time 65-
lOVo of childhood immunizations were being administered in
local count}' health departments. By 1 998 the private sector was
adtninistering 70 percent of the childhood vaccines. Since that
time, four ne^v vaccines-vaccine combinations have been added
to the Recommended Childhood Immunization Schedule, making
the current reporting mechanism cimibersome for the providers
of immunization services.
In addition, with the number of childhood immunization
providers enrolled in the UCl DP hcning nearly tripled over the
past four years, reporting of doses administered information on
the 5th oJ each month by providers does not allow adequate
reporting lime. The existing rule states that a provider M-ho fails
to report by the fifth of each month twice in one year is no
longer eligible to receive state-supplied vaccine. .4 temporaiy
rule needs to be adopted in order to impose upon immunization
program providers reasonable reporting requirements with
respect to immunization activities and appropriate sanctions for
13:11
NORTH CAROLINA REGISTER
December 1, 199H
855
RULE-MAKING PROCEEDINGS
failure lo comply. Greater compliance and accouniahilit}' by the
Immunization Program providers and the hnmunizution Section
will he achieved.
Comment Procedures: Comments, statements, data and other
information may be submitted in writing within 60 days after the
date of publication of this issue in the NC Register Copies of
the proposed rules and information packages may he obtained
by contacting the Immunization Program at (9I9)~!5-6 .
Written comments may be submitted to Barbara Sterritt.
Immunization Section. DWCH. PO Box 2959^. Raleigh. SC
2' 626-059'.
856 NORTH CAROLINA REGISTER December L 1998 13:11
PROPOSED RULES
This Section contains the text of proposed rules. At least 60 days prior to the publication of text, the agency published a Notice
of Rule-making Proceedings. The agency must accept comments on the proposed rule for at least 30 days from the publication
date, or until the public hearing, or a later date if specified in the notice by the agency. The required comment period is 60 days
for a rule that has a substantial economic impact of at least five million dollars (S5.000.000j. Statutoiy reference: G.S. 150B-
'21.2.
TITLE 10 - DEPARTMENT OF HEALTH
AND HUMAN SERVICES
Notice is hereby given in accordance with G.S. 1 50B-21.2
that the Social Services Commission intends to adopt the
rules cited as 10 NCAC 4IS .0101-.0W2. .0201-.0204. .0301-
.0307. .0401-.040'7. .0501-.0506. .0601-.0615. .0701-.0713: 10
NCAC 41T. 0101-0106. .0201-.0206: and repeal the rules cited
as 10 NCAC 41 E. 0401 .0403-.0406. .0501-.0518. .0601-.0606,
.0701-.0704: 10 NCAC 41G .0501-.0502, .0504-.0513. .0601-
.0606. .070I-.0708. .0801-.0809. .0902, .1001-. 1002. .1004-
.1013. .1101:1106. .1201 -.1208. .1301-. 1309. .1402: 10 NCAC
41 R .0101-. 010'. Notice of Rule-making Proceedings was
published in the Register on December 1. 199~.
Proposed Effecti\e Date: July I. 2000
A Public Hearing will be conducted at 10:00 a.m. on January
13. 1999 at the .Albemarle Building. Room 832. 325 North
Salisbwy Street. Raleigh. NC 27603.
Reason for Proposed Action: In 1992. the North Carolina
Association of Residential Child Care and Family Sen'ices
requested and received approval and support from the Division
of Social Sen'ices to establish a statewide committee made up of
NC.4RCCFS members and Division of Social Services staff to
develop licensure rules for residential child care facilities (10
NCAC 41S) and to develop licensure rules for two specialized
residential child care program areas (10 NCAC 4 IT). The
adoption ofne\i' rules was requested In order to update existing
licensure rules, to streamline the licensure process and to assure
compliance with the most current child welfare practice
standards in these areas. In order to implement the proposed
new rules, the existing rules in 10 NCAC 41 E (Group Homes-
adopted In 1982). 10 NCAC 41G (Child-Care institution-
adopted in 19'7> and 10 NCAC 41R (Foster Care Camps-
adopted in 1 986) will need to he repealed. The proposed rules
were developed by a committee process over a three year period
and resulted from an analysis of the existing rules and a
comparison with licensure rules from 10 other states. CH'LA
Standards and CO.A Standards by the committee. During 199'.
the committee and Children's Services staff reviewed the rules
and made final revisions to ensure compliance with the latest
child welfare practice standards. In October 1997. the
NCARCCFS officially approved these rules at the annual
Executive Directors ' meeting.
Comment Procedures: .Anyotte wishing to comment on these
proposed rules should contact Sharnese Ransome. A PA
Coordinator. Social Services Commission. NC Division of
Social Services. 325 N. Salishun- Street. Raleigh. XC 2 '603.
phone (919) 733-3055. Written comments must be received by
Januaiy 6, 1999 and oral comments may be made at the public
hearing.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial ecotwmic Impact of at least five million
dollars (S5.000.000) in a 12-month period
CHAPTER 41 -CHILDREN'S SERVICES
SUBCHAPTER 41E - LICENSING OF GROUP HOMES
FOR CHILDREN
SECTION .0400 - ADMINISTRATION
.0401 CONSULTATIVE SERVICES
Consultativ e s e rvic e s ar e provid e d by th e D e partment of
Human R e sourc es as follow s :
fH Exploration and analysis of th e n e ed for the s e rvice.
f3^ Evaluation of th e organization's pot e ntial for meeting
the id e nt i fied n ee d.
(5-) Interpretation of minimum licensing standards.
(+) Assistance in me e ting m i nimum lic e nsing s tandards.
{^ Consultation to assist th e lic e ns ee to mov e b e yond
minimum standard s : to chang e or improv e th e m e thod
of op e ration or th e quality ' of car e b e ing provid e d.
Authority G.S. 1 31 D. .Art. LA: 143B-153.
.0403 DEFINITIONS
Th e following d e finition s shall apply throughout Chapt e r 4 1
e xc e pt that Subparagraph (7) ofthis Rul e shall not appK to 4 11:
(4^ Group Hom e . A r e sid e ntial facil i ty op e rat e d e ith e r
und e r public or privat e auspic e s which r e c e iv e s for 21
hour care no more than nin e childr e n. This numb e r
includes th e car e givers' own r e lativ e s und e r th e ag e s
of 1 8. The composition of the group shall includ e no
mor e than two children under the age of 2. four
childr e n und e r th e age of 6. and six children und e r th e
ag e of 12. A group hom e shall not provide da\ car e ,
nor shal l it be availabl e to adults in the community
who w is h to r e nt room s .
{2) Privat e Group Hom e . — A group hom e und e r th e
control, manag e m e nt, and sup e rvision of a private
non profit organization, which operat es ind e p e nd e ntly
of a fo s t e r care services ag e ncy, a child caring
institution, or a licensed chi l d placing ag e ncv.
f5-) Public Group Home. A group hom e und e r th e control,
manag e m e nt, and sup e rvision of a countv governm e nt.
f4-) Privat e Ag e nc\ Group Hom e . A group hom e und e r
13:11
NORTH CAROLINA REGISTER
December 1, 1998
857
PROPOSED RULES
th e control, manag e m e nt, and s up e rvision of a fo s t e r
car e s e rvic es ag e nc\. a child caring institution, or a
lic e n se d child placing ag e ncy.
{&) Public Ag e nc\ Group Hom e . A group hom e und e r th e
control, manag e m e nt, and sup e rvision of a county
d e partm e nt of social s e rvic es .
{^ Lic e n se . P e rmission grant e d to a corporation. ag e nc\
or county gov e rnm e nt b\ th e D e partm e nt of Human
R e sources to e ngag e in th e provis i on of full tim e child
care bas e d upon an initial d e t e rmination, and annualK
th e r e aft e r, that such corporation, ag e ncy, or a county
government ha s m e t and comp l i e d with minimum
s tandard s set forth in this Subchapter.
f7^ Em e rg e ncy Sh e lt e r Hom e . — A group hom e which
prov i d e s r es id e ntial car e for a p e riod not to e xc ee d 90
davs.
Authority as. B1D-U).5: N3B-I53.
.0404 LICENSING PROCESS
(-a4 Appl i cation. — Th e application pha se of th e lic e nsing
proc e ss br i ng s th e p e rson s wanting to giv e r e sid e ntial child car e
und e r th e Jurisdiction of th e lic e nsing statut e and pro\id e s an
opportunit} — for th e applicant to e xplor e and — und e rstand
requirements.
ftH Stud\. Th e stud\ phas e focu se s on obtaining knowl e dg e
of th e propos e d program and proj e ct e d m e thods of op e ration.
For privat e group hom es th e D e partm e nt of Human R e sourc e s
s taff, tog e t her wi th those seeking to b e lic e ns e d, ar e r e spon s ibl e
for comp le ting th e study pha se . For ag e ncx group hom e s, th e
sup e rvising ag e nc> will b e r e sponsible for compl e ting th e s tud>.
fe-) Approval or R e j e ction. Th e d e ci s ion to giv e or w ithhold
official sanction by i s suing or r e fu s ing to i s su e a lic e ns e to
op e rat e a r es id e ntial child car e program is bas e d on inform a tion
obtain e d during th e study phas e and is r e ach e d through
admini s trativ e proc es s e s within th e D e partm e nt of Human
R e sourc e s.
(c) Nin e ty Day Grac e P e riod.
{V) A lic e ns e i s automatically provid e d a 00 day grac e
p e riod aft e r th e lic e ns e e xpiration dat e .
f2^ if th e lic e n se i s not r e n e w e d by th e e nd of the 90 da\l
grac e p e riod, th e lic e n se is t e rminat e d.
(d) Chang e in any function information on th e lic e nse.
m A lic e ns e ma> b e chang e d during th e p e riod of time
it is in e ff e ct if th e chang e is in compliance with
minimum lic e nsing s tandards.
(54 A lic e ns e may not b e chang e d during the 90 da\
grac e p e riod.
{ij Th e group home or th e ag e ncy of an ag e ncy group
hom e must notify the Childr e n's S e rvic e s Branch in
writing of its r e qu e st for a chang e in lic e nse,
including such information as is n e c e ssary to assure
that th e chang e i s in complianc e with minimum
lic e nsing s tandard s .
( e ) T e rmination.
f+4 wh e n a group hom e voluntariK' discontinu e s child
caring op e rations, th e Childr e n's S e rvic e s Branch
must bo notifi e d in writi n g of th e dat e and reason for
closing:
{2^ if all lic e n s ing mat e rials hav e not b ee n r e c e iv e d b\'
th e e nd of th e 90 da\ grac e p e riod, th e group hom e 's
lic e nse \\ ill b e t e rminated.
(f) Revocation.
f-H R e vocation of a lic e n se ma\' occur wh e n th group
hom e is not in complianc e with minimum lic e nsing
s tandards and it i s d e t e rmin e d that complianc e i
cannot b e accomplish e d within e stablish e d tim e'
(^
Th e d e ci s ion to r e vok e a lic e n se is r e ached through
administrativ e proc e ss e s within th e D e partm e nt of
Human Resources.
(^
-4TH^^
i home (
i hom e
' group home or ag e ncy ol an agency group I
wi l l b e notifi e d in writing of th e d e ci s ion to r e vok e
a lic e ns e .
Authorm-G.S^ 13 ID. Aft, lA: 143B-I53.
Authonh-G.S. 13W-in.5: 143B-153.
.0405 KINDS OF LICENSES
(a^ Full Lic e nse. ,A full lic e ns e i s i s su e d for on e y e ar wh e n all
minimum lic e nsing r e quir e m e nts ar e m e t.
fb-) Pro\ isional Lic e ns e .
Vr) A provisional lic e ns e is issu e d for a maximum of s ix
months enabling a facility to operate whil e som e
b e low standard compon e nt of th e program is b e ing
corr e ct e d.
(^ A pro\ isional licens e for th e sam e b e low standard
program compon e nt cannot b e r e n e w e d.
Authority GS. 131D. An. I A: 1438-153.
.0406 LICENSING ACTIONS
fa-> — N e v s Lic e n se . — A n e w lic e n se is is s u e d wh e n th e
D e partm e nt o f Human R e sourc e s d e t e rmin e s that th e g ro up
hom e is in complianc e with minimum lic e nsing standard s .
(b) R e n e wal. Lic e ns e s must b e r e n e w e d annualK.
SECTION .0500 - MINIMUM STANDARDS FOR
PRIVATE AND PUBLIC GROUP HOMES
.0501 INCORPORATION
Those seeking to es tablish and carry out child caring activiti e s
shall b e incorporat e d und e r Chapt e r 55 or Chapt e r 55 A of th e
G e n e ral Statut es of North Caro l ina and shall m ee t all of th e
provisions ther e in e xcept that county gov e rnm e nts s hall not b e
subj e ct to th e s e statut e s.
{\j Th e chart e r of incorporation shall defin e th e purpos e
and function of th e corporation, including:
fa4 th e g e ographic ar e a to b e s e rv e d:
fb^ th e kindl s ) of childr e n to b e se rv e d:
fe^ th e rang e of servic e s which will b e provid e d.
{—^ Th e corporation shall poriodicalK r e e valuat e its
functions and purpos e . — Chang e s in functions and
purpos e s hall be provid e d for in am e ndm e nt s to th e
ch a rt e r.
858
NORTH CAROLINA REGISTER
December T 1998
13:11
PROPOSED RULES
Authorin' G.S. 13 ID. An. I A: 143B-153.
.0502 GOVERNING BODY
Th e group home shall hav e a gov e rning body (h e r e aft e r
beginning of e ach fiscal year showing incom e and expenditur e s,
including such d e tails a s ar e r e quir e d on the annual r e port.
( e ) A financial committee of th e board s hall b e responsibl e for
th e sup e rvision of th e investm e nts of th e group home, working
r e f e rr e d to as board) r e spon s ibl e for its prop e r function in with th e e x e cutiv e in pr e paring th e budget, approving unusual
accordanc e with its chart e r and the purpos e s s e t forth th e r e in.
(4^ Th e bylaws of th e board shall includ e th e following
provisions:
(a) The board s hall b e compos e d of repres e ntativ e s of
various int e r e sts and occupations:
(b) Th e board shall have a plan for th e rotation of
m e mb e rs:
fe4 The board shall m ee t with a quorum pr e s e nt at l e ast
quart e rl>. A majority of th e board shall constitut e a
quorum.
Pow e rs and duti e s of th e board shall includ e th e
m-
following:
(«^ to d e t e nnin e th e purpo se s and functions of the group
hom e :
to e mploy an e x e cutive director:
-te — d e fin e .
-m-
^ritinti. — the — function s — and
r es ponsibiliti e s of th e e x e cutiv e dir e ctor, and th e
ba s is upon which th e Dir e ctor mav b e di s mis se d:
{^
to d e v e lop with th e e x e cutiv e director th e polici e s of
th e group hom e ;
to annually e valuat e th e program and polici es of th e
group hom e to d e t e rmin e e ff e ctiv e n e ss and any
n ee d e d chang e s:
■40 — annually — e va l uat e — the — p e rformanc e — of th e
0^
e x e cutiv e dir e ctor:
to assur e ad e quat e tinancial support for th e program
of child car e :
to approv e an annua l budg e t for th e program of ch il d
approv e
to k ee p official minut e s of all board m ee tings as a
part of th e organization's p e rman e nt r e cords:
to b e guid e d by th e community n ee d s in th e
program's ov e rall direction, services, polici e s and
administration.
.Authority- G.S. I31D-IU.5: I43B-153.
.0503 FINANCES
{et) — Th e group home shall have a sound plan of financing
which as s ur e s sufficient funds to e nabl e it to carr) out its
d e fin e d purpo se s and prov i d e proper car e for childr e n.
(b) Th e n e w group hom e shall have suffici e nt funds a ss ur e d
to carrx it through its first y e ar of op e ration and a ss uranc e of
ad e quate continuing support.
(c) Th e group hom e which rec e ive s governm e nt fund s shall
hav e an ind e p e nd e nt audit of th e fmancial r e cord s of th e
corporation mad e at l e ast annually and the r e port shall b e mad e
a part of th e home' s r e cords. A copy of thi s audit shall b e s e nt
to th e Division of Social S e rvic e s, if this funct i on i s carri e d out
bv th e county's fmancial r e pr e s e ntative, an audit will not b e
r e quir e d on an annua l ba s is.
(4^ — An e stimated budg e t shall b e pr e pared and approv e d
iointl\ b\ th e board of dir e ctors and th e e x e cutiv e at th e
e xp e nditur e s, and planning for s e curing ad e quate funds.
{f) — After a permit to develop ha s b ee n r e c e iv e d and if th e
organization plans to solicit funds for the propos e d group home,
th e North Carolina law r e garding solicitation of funds as found
in G.S. 131C s hall b e m e t.
Authority G.S. I31D-10.5; 143B-153.
.0504 STAFF
(a) Ex e cutive Director.
f+4 Qualifications
(A^ — Th e e x e cutiv e dir e ctor shall have ability as an
administrator and th e training and experience that
qualifi e s him for his job r e sponsibilities:
(6-) — Th e e x e cutiv e dir e ctor shall b e at l e ast 2 1 y e ars of
m-
Functions
-The — e x e cutive — director — shaH — be
r e sponsibl e — for th e — g e n e ral — manag e ment — and
administration of the ag e ncy in accordanc e with
lic e nsing r e quirem e nts and polici e s of the gov e rning
body. Th e functions of th e Director or his d es ign ee
shall include but not be limited to the following:
(A^ — Interpr e tat i on — &f — lic e nsing — standards — aftd
established child car e standards to the Board:
f&^ — Initiating and canning out a sound program of
r es id e ntial — chi l d — eare — in — accordanc e — with
e stabli s h e d standards and a s approv e d by th e
Board of Dir e ctor s ;
fG) — Pr e paring — the — group — hom e — budg e t — with — the
assistanc e — ef — thos e — of — h+s — staff — who se
r e spon s ibiliti e s or abiliti e s qualify' th e m to help;
f&^ — Pr e s e nting th e budg e t to th e Board or gov e rning
authority for approval;
fE^ — Employing and discharging all m e mb e r s of his
stalft
{¥^ — Holding staff meetings at regular int e rval s and
di s cussing plans and policies with his staff;
^G) — Organ i z i ng and promoting a program of e ducation
for th e continu e d tra i ning and development of th e
staffi
fH^ — Sup e rvi s ion of th e group home staff;
fH Conducting with e ach staff member an annual
e valuation r e garding hi s job performanc e . — A
writt e n copy of e ach e valuation shall b e k e pt on
fH E s tablishing — and — maintaining — geed — working
r el ationship s with other social s e rvic e s ag e nci e s in
th e community, and a ss uming r e sponsibilitv for th e
int e rpr e tation of th e home's program;
fK^ — Administration, admi s sions and discharges of
chi l dr e n and th e child car e program v^ith s uch
d ele gation of actual work in th e s e ar e as as i s
appropriat e .
13:11
NORTH CAROLINA REGISTER
December 1. 1998
859
PROPOSED RULES
(b) Prof e ssional S e rvic es Staff.
f-M Each — group — hom e — shaH — have — availabl e — those
prof es sional s e rvic es x' l hich a s sur e qualit> care for
childr e n and provid e planning s e rvic es with their
famili e s, inc l uding th e following:
{A) — doctors.
(B) — d e nti s t s .
{€^ — nur se s.
(©^ — social workers.
f&) — psvchologists.
<-P) — psvchiatrist s .
fG-) — nutritionist s .
(44-) — r e cr e ation work e rs.
{i) t e ach e r s .
{2^ S e rv ic e s may b e purchas e d on an individual basis or
provid e d b\ m e mb e r s of th e hom e staff, or obtain e d
through public or privat e programs.
.0505 PERSONNEL POLICIES
(a) Leav e . The group hom e shall hav e a writt e n policy which
pro\ id e s child care staff tim e off duty e ach month, including one ^
■ 18 hour p e riod, depending on the staffing pattern utiliz e d and the w
typ e of car e provided.
fb^ Mb — D e scriptions. Duti es . — responsibilities. — afi4
qualifications for each staff position shall be defin e d in writing.
Authority- G.S. 131D-1UJ: 143B-153.
.0506 SOCIAL SERVICES: ADMISSIONS:
POLICIES: PROCEDURES
(a) Admission polici e s shall b e cl e arK d e fin e d in writing and
shall be r e vi e w e d annually and changed as needs and condition s
in the community chang e.
(b) Admi s sion proc e dur es shall b e in k ee ping v i ith th e stat e d
polici e s of th e group hom e , and admissions shall b e limit e d to
t^
Prof es sional — work e rs shall — hav e thos e sp e cial thos e childr e n for whom th e hom e is qualifi e d b\ s taff, program-
qualifications that e nabl e them to work with
chi l dr e n.
facilities, and s e rvic es to give adequate care,
(c) In group hom e s oth e r than sh e lt e r hom es , th e following
fe-) — Child Care Staff. Couns e lors. T e aching Par e nts or information and mat e rials shall b e obtain e d prior to admission:
Housepar e nts.
(-H Qualification s
(4+-
(A-) — shall b e at le ast 1 8 s e ar s old:
{B) — shall be m e ntalK and phvsicalK fit as e vid e nc e d
bv th e follovsina:
(+f-
ik-
(++4-
{m^
-a — physical — e xamination — compl e t e d — by — a
phvsician. — phvsician' s — assistant. — or nur se
practition e r, h e r e aft e r r e f e rr e d to a s "licensed
m e dical provid e r", prior to a ss uming th e
position and e v e ry oth e r v e ar th e r e aft e r. Th e
co s ts of phy s ical e xamination s which ar e
r e quir e d for continuing e mplovm e nt ar e to b e
paid bv th e group hom e :
a h e alth qu e stionnair e compl e t e d bv — the
(34-
04-
Verification that the person making application for
plac e m e nt has th e authority to do so:
A compl e t e d application for s e rvic e s sign e d bv' th e
par e nts, legal custodian or ag e ncv w ith th e authority
to place th e child:
-A — social — s ummarv — which inc d e s background
04-
information on th e child, his familv. hi s pr e s e nting
problems and curr e nt circumstances which will
e nabl e th e group hom e staff to d e t e rmin e if th e
child's n ee d s are consi s t e nt with th e hom e 's program
of care:
(4^ A writt e n plac e m e nt agreement sign e d bv authoriz e d
p e rsons which includ e s th e servic e s to b e provid e d
by the group home, and the r e sponsibiliti e s of th e
parents and l e gal custodian, indicating who will be
r e sponsibl e for th e child' s financial and m e dical
n ee ds, fees to b e paid, cons e nt for e m e rg e ncy
m e dical — tr e atm e nt. — l e ngth — ef — stw; — visitation
e xp e ctations and limitations b e tw e en th e child and
his familv. and th e sch e dul e of r e vi e w conf e r e nc e s:
{&^ Docum e ntation — of a — phvsical — e xamination — as
s p e cifi e d in Rul e .051 l (a)( I ) of this Subchapt e r.
fd^ — In a group hom e that has a writt e n agr ee m e nt with a
department of social serv ices to prov id e r e sid e ntial child car e
e xclusiv e lv for childr e n for v\hom that d e partm e nt of s ocial
s e rvic e s has plac e m e nt authorirv. th e group hom e or d e partm e nt
tA-) — shall hav e responsibility — for th e dav to dav of social s e rvic e s must compiv with all provisions of Paragraph
individual staff on e ach v e ar wh e n a phvsical
e xaminat i on is not r e quir e d:
a TB skin t e st prior to as s uming th e position.
and annual Iv th e r e aft e r, e xc e pt wh e n th e
lic e ns e d m e dical p rov id e r adv is e s against it:
(€4 — shall have e ducation, training and e xp e ri e nc e
s uffici e nt to e quip th e m for th e duti es as s ign e d:
fD^ — s ha l l not b e p e r s ons who hav e b ee n found to hav e
n e gl e cted or abus e d a child bv anv ag e ncv dulv
author i z e d bv lav^ to inv e stigat e all e gations of
abus e or n e gl e ct.
Duti e s
activitie s of th e hom e and car e of th e childr e n.
(c) of thi s Rul e . Sp e citic responsibiliti e s for s ocial s e rvic e s in
tB^ — s hall a s sum e thos e duti e s assign e d th e m in Paragraph (c) of this Rule shall b e d e fm e d in th e writt e n
accordanc e w ith any sp e cializ e d program of th e
hom e .
agr ee m e nt.
( e ) In sh e lt e r hom e s th e following information and mat e rial s
(d) Cl e rical Staff Each hom e shall hav e ad e quat e cl e rical shall bo obtain e d:
s ervices to k ee p correspondenc e , r e cord s , booldv ee ping and fil e s
curr e nt and in good order.
Authorll^■G.S. 1310-10.5: 143B-I53.
D e termination of cu s todv
rrtht
-72 — hours of
f4^
admission with the l e gal custodian participating in
th e admission proc e dur e :
(5-) A writt e n cons e nt for plac e m e nt s ign e d bv the l e gal
custodian within 72 hour s aft e r admission:
860
NORTH CAROLIXA REGISTER
December 7. 1998
13:11
PROPOSED RULES
^h
A social summarv which includ e s background
information on the child, his family, his pr ese nting
problems, and curr e nt circum s tanc es within two
we e ks of admis s ion;
(4-) Docum e ntation of a physical a s s p e cifi e d in Rul e
.051 4 (a)(1) of this Subchapt e r within two weeks of
admission.
ff) — In a sh e lt e r hom e that has a vvTitt e n agr ee m e nt with a
departm e nt of social s e rvices to provid e r e sid e ntial child car e
exclusiv e K for children for whom th e d e partm e nt of social
s e rvic e s has plac e ment authority, th e sh e lt e r hom e or d e partm e nt (b) Whether thes e visit s will tak e plac e in th e group homo or
of s ocial servic e s must comply with all provisions of Paragraph elsewher e shall b e th e decision of th e group hom e.
(e) of this Rul e . Sp e cific r e sponsibilities for social s e rvic e s in (c) Visitation policies shall b e developed through consultation
Paragraph ( e ) of this Rul e shall b e d e fined in th e writt e n with, and th e approval of the l e gal custodian of th e child,
agre e m e nt. (d) If th e group hom e us e s private famili e s in th e community
(g) In group hom e s oth e r than sh e lter hom e s, a writt e n plan of as vi s iting hom e s for childr e n for we e k e nds, holidays, or
car e for e ach child shall be d e v e lop e d at th e tim e of admi ss ion. vacation, th e following shall b e r e quir e d prior to arranging such
and r e vi e w e d at l e ast semiannually by th e group hom e staff. vi s its:
(-1-) In sh e lt e r homes, an evaluation shall b e made
(3^ In all oth e r group hom e s, an e valuation shall b o
mad e at l e a s t se mi annually.
Authority G.S. 131D-10.5; 143B-153.
.0509 SOCIAL SERVICES: VISITING POLICIES
(a) Vi s its of r e lativ e s with childr e n and of childr e n with their
families s hall b e plann e d on an individual basis.
par e nts, and l e gal custodian and th e child, wh e n appropriat e . In
s h e lt e r homos th e writt e n plan of car e shall b e d e v el op e d within
72 hours of admission and r e vi e w e d e v e ry oth e r w ee k by th e
group hom e s taff, par e nts and l e gal custodian, and th e child,
when appropriat e . This plan of car e shall includ e :
fH Th e exp e ctations and goals to b e r e ach e d by th e
child whil e in car e :
{^ Th e tasks and activiti e s of th e group hom e staff to
m ee t th e n ee ds of th e chi l d wh i l e in car e :
{^ Th e tasks and activiti es of th e par e nts and l e ga l
custodian to m ee t th e n ee ds of th e ch i ld while in
f+4-
Writt e n cons e nt shall b e obtain e d from the l e aallv
Authorities. I3ID-I0.5: 1438-153.
.0507 SOCIAL SERVICES: DISCHARGE POLICIES
(a) A written di s charg e plan s ha l l b e part of th e plan of car e
for each child. Th e child shall participat e in th e formulation of
the plan, if pos s ibl e .
(b) A sch e dul e of r e vi e ws of the progr e ss mad e towards th e
discharg e plan shall b e s e t up to includ e th e group hom e staff,
the responsibl e ag e ncy r e pr e s e ntativ e , th e child and par e nt s
and'or relativ e s, wh e n appropriat e .
fe^ — If th e child i s unabl e to partic i pat e in th e r e vi e w
conference, ho shall b e k e pt inform e d of th e progr e ss mad e
tov\ard th e discharg e plan, and b e giv e n suffici e nt tim e to
prepar e for hi s d e partur e from th e hom e .
Authoriti-G.S. 13ID-10.5: 143B-153.
.0508 SOCIAL SERVICES:
AND FAMILY
SERVICES TO CHILD
r e spon s ibl e ag e ncy or p e r s on of th e child prior to
such a vi s it.
(3^ Th e int e r e sts, n ee ds, and w e lfar e of th e child shall
b e ass e s se d, and th e child shall b e agr ee able to the
arrang e m e nt.
(3-) A pr e liminary vi s it betw ee n th e child and famiK' ho
plans to visit, shall lak e place prior to an ov e rnight
visit.
(4) Th e host fam i ly shall bo ass e ss e d prior to such a
visit, to d e termine that thoy can provid e prop e r care
and sup e rvision for the child, and if they share
common int e r e sts with th e child. — The assessment
s hall include:
fA^ — A visit to th e host family' s hom e :
fB) — A compl e t e d appl i cation on th e host family:
{Q) — A bri e f social history on th e host family:
f&) — A s ign e d agr ee m e nt by th e host family and th e
group — hom e — er — ag e ncy. — vshich — s tat e s — the
r e spon s ibiliti es of e ach, and that th e ho s t family
fully und e rstands th e s e r e sponsibiliti e s;
(£^ — R e spon se s from thr ee r e f e r e nc e s that th e host
family can provid e th e proper car e and sup e rvision
n ee d e d by th e child.
Authoril^■G.S. I31D-10.5: 143B-153.
.0510 SOCIAL SERVICES: FOLLOW LP SERVICES
(a) Sor\'ices to support and maintain the child in his r e turn to
th e commun i ty shall bo offered.
(b) I f th e di s charging group hom e is not staffed to r e nd e r this
s e rvic e , a r e f e rral shall b e mad e to a county d e partm e nt of social
(a) Th e group home shall provid e tho se s e r\'ic es to a child and servic e s or private family and children's s e rvic es ag e ncy.
hi s family which it has stated it will provid e .
(fe) — Th e group homo s hall mak e r e f e rrals to. and work Authority G.S. 13ID-I0.5: I43B-153.
coop e rativ e ly w ith other agencies and community r e sourc e s.
{e) — Th e group hom e shall e valuat e e ach child's plac e m e nt .0511
n e eds on a r e gular basis, and shall includ e th e par e nts and
r e lativ e s, as w e ll as th e ag e ncy with legal responsibility for th e
child in the review.
SOCIAL SERVICES: RECORDS AND
REPORTS
(a) Child's Cas e R e cord.
(4-) In group hom e s other than sh e lt e r homes a compl e t e
13:11
NORTH CAROLINA REGISTER
December 1, 1998
861
PROPOSED RULES
and confidential cas e r e cord s hall b e maintain e d
which s hall contain th e following:
(A-) — Docum e ntation of plac e m e nt authorit\\
(64 — Socia l summar>:
(€) — Compl e t e d application for s e rvices:
{©) — Writt e n plac e m e nt agre e m e nt:
f&) — Writt e n plan of car e includina th e se miannua l
r e vi e ws:
fR Docum e ntation that v e rifi e s th e child's birth:
{G) — Pr e admis s ion — physical — e xamination. — artd — am-
sub se quent — medical — information — s«eh — as
hospitalizations. — significant — illn e ss e s. — d e ntal
e xamination s , e tc.:
Immunization record (thi s r e cord must b e obtain e d
f+44-
k^
vsithin 30 davs of a child's admission to th e home):
(4-) A — discharg e — s ummary — wrth — the — date — and
circumstanc es of discharg e .
In a group hom e that has a writt e n agr ee m e nt with a
Authority G.S. 131D-1().5: 143B-153.
.0512 CHILD CARE AND DEVELOPMENT:
PROGRAM
fa4 — Th e child car e program s hall b e d e signed to provid e
opportuniti e s for po s itiv e l e arning e xp e ri e nc e s for the child and
shall b e g e ar e d to th e n ee ds of th e childr e n s e rved.
fN — If th e hom e us es a sy s t e matic approach for alt e ring
maladaptiv e — b e havior. — both — r e sid e nts — emd — staff shall — be
thoroughly in s truct e d in this sv s t e m.
fe4 — Staff administ e ring th e program s hall have had prior
e xp e ri e nce or training in th e principl e s of this system.
f4) — There shall b e an annual e valuation b\ the board of
dir e ctors to m e asure the e ffectiv e n e ss of th e program and to
offer direction for needed changes.
d e partm e nt of social se rvic e s to provid e r e sid e ntial Authorit}- G.S. 131 D. Art. lA: 143B-153.
child car e e xclusiv e lv for childr e n for whom th e
d e partm e nt — evf — social — se rvic e s — has — plac e m e nt
authority, sp e cific responsibiliti e s for children's
r e cord s in Subparagraph (a)( I > of this Rul e must be
id e ntifi e d in th e writt e n agr ee m e nt.
f54 In s h e lt e r hom e s, a confid e ntial ca se r e cord s hall b e
maintain e d v i hich shall contain th e follow ing:
fA4 — / \ w ritten plan of car e develop e d within 72 hours
of admis s ion:
f&) — Plac e m e nt cons e nt, sign e d b\ th e p e rson or ag e ncy
\sith plac e m e nt authority within 72 hour s of a
child' s admission:
hM
(44-
(€4 — R e port of th e m e dical e xamination if a chi
r e mains in car e long e r than two w ee ks:
{&) — Social s ummary, with information indicating that
th e group hom e 's program of car e is appropriat e if
th e child r e mains in car e long e r than two w ee ks.
In a sh e lt e r hom e that ha s a writt e n agre e m e nt with
a d e partm e nt of social s e rvic e s to provide resid e ntial
child car e e xclusivelv for childr e n for whom th e
d e partm e nt — t>f — s ocial — s e p>ic e s — has — plac e m e nt
authority — sp e cific r e sponsibiliti e s for childr e n's
r e cords in Subparagraph (a)(3) of this Rul e must b e
id e ntified i n th e writt e n agr ee m e nt,
(b) Sh e lt e r Log. In sh e lt e r hom es , a log shall b e maintain e d
that lists at a minimum th e follow ing:
(44 child's nam e . ag e . s e x. and rac e :
04
(24 l e gally — r e sponsibl e par e nt, r e lativ e , or ag e ncy
f*^
r e pr ese ntative's nam e and t e l e phon e numb e r:
dat e of admis s ion:
(+f-
dat e of discharg e .
(-e4 — Staff M e dical Reports. — .\ m e dical r e port shall b e
comp le t e d prior to e mplovm e nt and ever y o t h e r v e ar th e r e aft e r
and maintain e d on e ach full and part time child caring s taff, any
r e latives r e siding in th e home, and any p e rson r e sponsibl e for
pr e paring or s e rv ing food in th e hom e .
(d) Annual R e po r t. Each group hom e shall submit an annual
s tatistica l r e port as r e quired by th e D e partm e nt to th e lic e nsing
authoritv within 60 dav s aft e r th e e nd of the program's fi s cal
.0513 EDUCATION
Childr e n shall attend the public school to which th e y ar e
ass i gn e d unl e ss an alt e rnativ e e ducation plan i s agr ee d upon by
th e child, th e hom e , and th e r e sponsibl e p e rson or ag e ncy
making plac e m e nt.
.4uti -it}- G.S. 131 D. Art. lA: 143B-I53.
.0514 CHILDCARE AND DEVELOPMENT: HEALTH i
(a) M e dical Program. Ev e ry group hom e shall have a planned '
program of m e dical car e .
f+4 M e dical R e quir e m e nts for Admission.
fA4 — No child shall b e acc e pt e d into a group hom e
without hav ing had a physical e xamination w ithin
90 days prior to admission. v\hich sha l l includ e a
sign e d stat e m e nt bv a lic e ns e d m e dical provider
sp e cifying th e child's curr e nt m e dical condition
and m e dications pr e scribed and indicating th e
pres e nce of any communicabl e dis e as e or m e dical
condition which ma\ pos e a significant risk of
transmission in th e facilitv. — If a child is in th e
cu s todv of a d e partm e nt of social se rv ic es , i s
alr e ady sch e dul e d to hav e and is having a physical
compl e t e d annual Iv. and is e nt e ring a privat e group
hom e , th e sch e dul e of annual phvsicals shall not
b e chang e d. Howev e r a copy of th e mo s t r e c e nt
phvsical — shaH — be — sent — by — the — r es ponsibl e
department of social s e rvic e s to the privat e group
hom e for th e child's record th e r e e xc e pt that in
sh e lt e r hom e s, th e physical examination and
stat e m e nt shall b e obtain e d within tvvo w ee ks of a
child's admi ss ion.
(S4 — . ' \ child admitt e d to a group hom e shall b e
immunized against diphth e ria, t e tanus, vvhooping
cough. — poliomv e litis. — red — m e a s l e s — (rub e ola). ,
rub e lla, mump s , and any other dis e as e as r e quir e d
by I5A NCAC 19A .o' l OO. which is incorporat e d
bv r e f e r e nc e including s ub se qu e nt am e ndm e nts
862
NORTH C.4ROLI.\.4 REGISTER
December 1. 1998
13:11
PROPOSED RULES
and e ditions, prior to admission, or as soon aft e r as
practical. Docum e ntation of th ese immunization s
shall b e obtained within 30 dav s of a child's
(7^ D e ntal R e cord s . Included in a child' s m e dical r e cord
s hall — be — a — d e ntal — r e cord. — showing — dat es — ef
e xaminations and by whom given.
admission. A copy of ISA NCAC lOA .0 4 00 may (b) Routin e Asp e cts of H e alth. P e rsonal Hygi e ne, and Saf e ty.
(^
b e obtain e d from th e Offic e of Admini s trativ e
H e arings. P.O. Draw e r 27147. Raleigh. North
Carolina, (919) 733 267 8 . at a co s t of two dollars
and fifty c e nts ($2.50) at th e tim e of adoption of
thi s Rule. A copy is availabl e for in s p e ction in th e
Childr e n's S e rvic e s S e ction. N.C. Division of
Social S e rvic e s. Albemarle Building. 325 North
Salisbury Str ee t. Ral e igh. North Carolina 27603.
M e dical Care. Arrang e m e nt s s hall b e mad e with at
least on e lic e ns e d physician and on e d e ntist for th e
care of childr e n in th e hom e .
(4^ Hospital Car e . Arrang e m e nts shall b e mad e with a
hospital for the admission of childr e n from th e group
hom e in the ev e nt of s e rious illn es s or in an
W-
omcrgoncy.
First Aid.
(A) — Hous e par e nts shall r e c e iv e training and b e abl e to
administ e r first aid.
(B-) — First aid kits shall b e availabl e for instant us e .
f5^ Hom e M e dical Car e Practic e s.
{A) — Group hom e s s hall not e ngag e in any m e dical car e
practic e s that conflict with th e control m e a s ur es
for communicabl e di se as es in 15A NCAC I9A
■0200. — which — is — i ncorporat e d — by — refer e nce
including subs e qu e nt am e ndm e nts and e ditions. A
copy of I5A NCAC 19A .0200 may b e obta i n e d
from th e Offic e of Administrativ e H e arings. P.O.
Draw e r 27 44 7. Ral e igh. North Carolina 27611.
(919) 733 2678. at a co s t of two dollar s and fifty-
c e nts ($2.50) at th e tim e of adoption of this Ru le .
A copy i s availabl e for insp e ction in th e Childr e n' s
S e rvic es S e ction. N.C. Division of Social S e rvic e s.
Alb e marl e Building. 325 North Salisburv' Str ee t.
Ral e igh. North Carolina 27603.
f&) — Hous e par e nt s s hall b e abl e to r e cogniz e th e
common s ymptom s of i l ln es s es of childr e n and to
not e any mark e d phy s ical or e motional handicap s
of childr e n.
fG^ — A — s t e ril e clinical th e rmom e t e r s hall b e k e pt
availab le for us e .
M e dicin e s upply cabin e t s shall b e k e pt lock e d
wh e n not in imm e diat e u se .
(^
M e d i ca l R e cord s . Each child s hall hav e
i onal
a p e n
m e dical r e cord availabl e which shal l includ e :
th e stat e m e nt of th e physician who e xamin e d him
at the tim e of admission to th e hom e :
a record of his immunization s : thi s r e cord s hall b e
obtain e d within 30 days of a ch il d' s admission to
th e hom e :
{Q) — cons e nt of par e nts or guardians for m e dical car e :
(O) — a r e cord of th e m e dical care and examinations
giv e n whi le in car e . — including a r e cord of
hospitalization s , significant illn e sses or accid e nts.
and tr e atm e nt giv e n.
fH Staff shall routinely apply g e n e ral inf e ction control
proc e dur e s which shall includ e but not b e limit e d to
Univ e rsal Pr e cautions sp e cifi e d by the Centers for
Disease Control. U.S. D e partm e nt of Health and
Human Services. Public H e alth S e rvic e s. Atlanta.
G e orgia — which — is — incorporated — by — r e f e r e nc e
including subs e qu e nt am e ndm e nts and e ditions. A
copy of that docum e nt may b e obtain e d from the
National AIDS Information Cl e aringhous e . P.O.
Bex ^mi-. Rockville. Maryland 20850,
1 800 ' 158 523 1, at no cost for a sing l e copy at the
tim e of th e adoption of this Rul e . — A copy is
availabl e for in s p e ction in th e Childr e n's S e rvic e s
S e ction, — NrC^^ — Divi s ion — ef — Social — S e rvic e s,
Alb e marl e Building. 325 North Salisbury Str ee t,
Ral e igh. North Carolina 27603.
(3) Sl ee p. — Each child in a group hom e shall hav e
e nough sl ee p for hi s ag e at r e gular and r e asonabl e
hours and und e r condition s conduciv e to r e st. Whil e
childr e n ar e a s l ee p, at l e a s t on e s taff m e mb e r shall
b e n e ar e nough to h e ar call s .
(4^ Hygi e n e . — Childr e n shall b e taught and h e lped to
ke e p thems e lv es cl e an. They shall r e ceive training
in all aspects of personal hygiene. Bathing and toil e t
facilit i es shall b e in working order and kept cl e an.
(4) Toilet Articl e s.
(A-) — Each child s hall hav e hi s own clearly identifi e d
toothbrush, comb, tow e l and wash cloth and his
own se parat e plac e for keeping th e se p e rsonal
articl es .
{%) — Tow e l s , wash cloths, and bed lin e ns shall b e
chang e d w ee kly or mor e often as required by good
hygi e n e .
f5) Saf e ty. — A ny child car e s taff transporting a child
shall hav e s uch child prop e rly s e cured in a child
pass e ng e r — r e straint — s y s t e m — pur s uant — te — the
r e quir e m e nts of G.S. 20 137.1.
(c) Nutrit i on.
f+^
M e als s e rv e d to all childr e n shall provide for th e ir
nutrit i onal r e quir e m e nts as advi se d by the National
R e search Council (R e comm e nd e d Da i ly Di e tarv'
Allowanc e s).
(3) An\ modifi e d food n ee d s of an individual child shall
b e provid e d und e r th e direction of a lic e ns e d
m e dical provid e r.
(3^ Th e m e nus shall b e plann e d by or in consultation
with a r e gist e r e d nutritionist or di e titian.
Aulhorin-G.S. 1 310-10.5: 143B-153.
.0515
CHILD CARE AND DEVELOPMENT:
RECREATION
(a) There sha ll b o a plann e d program of recr e ation in line with
the ages of the children and th e purpos e of th e group hom e .
J 3: 11
NORTH C4R0LINA REGISTER
December 1, 1998
863
PROPOSED RULES
{h) — Thi s program shall incorporat e th e r o sources of the
community' and involv e m e nt in communit>' activiti es .
AuthorinG.S BID. Art. I A: 143B-I53.
{3:) the children to be served:
{i) th e range of s e rvic e s to be provided.
AuthorinG.S. BID. Art. lA: J43B-153.
.0516 DISCIPLINE
(a) — In planning discip l in e , the child's ag e . int e llig e nc e ,
emotional mak e up and his past e xp e ri e nc e shall b e consid e r e d.
(b) Di s cipline shall b e con s ist e nt.
(c) Appropriate work tasks or d e nial s of privil e g es s hall b e
acc e ptabl e m e thod s of di s ciplin e .
(d) D e nia l of m e als shall not b e us e d as punishment.
( e ) Corporal puni s hm e nt shall not be us e d.
(-ft Isolation or lock e d custod\ — shall not b e
se d a s
pun i shm e nt,
(g) No intimidation or v e rbal thr e at s shall b e u se d.
Authority- G.S. 1 31 D, Art. lA; 143B-153.
.0517 WORK
(a) Th e work program for childr e n in th e group hom e shall
hav e a s its purpos e th e d e v e lopm e nt of good uork habit s and a
s e n se of r e sponsibilitx. Th e provision s of th e N'.C. Child Labor
Lau conc e rning ag e . hours of l abor and hazardous occupations
shall b e compli e d with th e assignm e nt of \\ork to childr e n.
(b) Childr e n s hall not b e r e quir e d to b e s ol e K r e sponsibl e fef
an\ major phas e of operation or maintenance of th e hom e . T. "•.
would inc l ud e cooking, laund e ring, housekeeping, farming, and
r e pair work.
(c) No hom e s hall r e quir e a child to work for th e purpos e of
pa\ ing th e hom e for his cost of care exc e pt wh e re an old e r child
moving toward s e lf support e nt e rs into a contract w ith th e hom e
in which h e i s paid for his vsork and assum es a gradual d e gr ee of
r es ponsibilit} for his own n ee ds.
Authority- G.S. 13 ID. Art. I A: 1438-153.
.0518 E.XPLOITATION
(») — No child shall b e us e d in an> wax for th e purpo se of
s ol i citing funds.
(b) N e ith e r s hall h e b e i d e ntifi e d in conn e ction w ith publicitx
for th e hom e in any wa> which would caus e him or hi s famiK
e mbarrassm e nt.
(c) Before pictur e s or any other m e an s of id e ntity ing childr e n
ma\' be us e d in publicity or public r e lations e fforts for the home.
a stat e m e nt of p e rmission shall b e obtain e d from th e par e nts or
cu s todian of th e child. Such p e nnission shall b e obtain e d e ach
and e v e ry time public r e lations e fforts ar e undertak e n .
Authority- G.S. 13 ID. Art. lA: 1438-153.
SECTION .0600 - MINIMUM STANDARDS FOR
PRIVATE AND PUBLIC AGENCY GROUP HOMES
.0601 PURPOSE
Th e ag e nc\ s hall cl e arlx d e fine in wr i ting th e purpo se th e
group hom e i s to se rv e , including the following:
f-H th e g e ographic area to b e s e r\ e d:
.0602 FINANCES
Th e ag e ncv s hall hav e a sound plan of Financing th e group
hom e which assur e s suffici e nt fund s to e nable it to carry out it s
d e fin e d purpos e s and provid e prop e r car e to childr e n.
Authority- G.S. BID. Art. lA: 1438-153.
.0603 STAFF
(a) Th e r e s hall be a r e sponsible staff p e rson d e signat e d as
supervisor of th e group home staff and op e ration.
f^
Child Care Staff. Couns e lor s . T e aching Par e nts, or
Hous e par e nts.
{4^ Qualifications
(-fir) — shall b e at l e ast 18 y e ars of ag e :
fB^ — s hall b e mentalK and ph\sically fit as e vid e nc e d
W-
b\ th e following:
-a — physical — e xamination — compl e t e d — by — a
l i c e n se d m e dical provid e r, prior to as s uming
th*
i ition and e v e rv oth e r \ e ar th e r e aft e r:
M-
{m-
-pe;
th e costs of phv s ical e xaminations which ar e
r e quir e d for continuing e mplox m e nt ar e to b e
paid b\ th e group hom e :
a health questionnaire complet e d b\' th e
indixidual staff on e ach \ e ar wh e n a phx s ical ,
e xamination is not r e quir e d: '
a TB skin t e st prior to assuming th e position.
and annualK th e r e aft e r e xcept wh e n th e
lic e ns e d m e dical provid e r advis e s against it:
{€-) — shall hav e e ducation, training and e xp e ri e nc e
suffici e nt to e quip th e m for th e duti e s assigned:
fB4 — s hall not b e p e rsons who hav e b ee n found to hav e
n e gl e ct e d or abus e d a child b\ anv ag e ncv dulv
authoriz e d b\ law to inv e stigat e all e gations of
abus e or n e gl e ct .
(3) Duti e s
i-fit^ — s hall hav e r e sponsibilitv — for th e dav to da>
activities of th e hom e and car e of th e childr e n:
fB-) — s hall assum e those duties assign e d th e m — m
accordanc e with anv sp e cialized program of the
hom e .
Auihoriiy- G.S. 13 ID- 10. 5: 1438-153.
.0604 PERSONNEL POLICIES
(a) L e av e . Th e group hom e shall hav e a writt e n policx which
provid e s child care staff tim e off duty e ach month, including at
l e ast on e 1 8 hour p e r i od, d e p e nding on th e s taffing patt e rn
utiliz e d and th e tvp e of car e provid e d.
fb^ Jeb — D e scription s . Duties. — r e sponsibiliti e s. — and
qualification s for e ach staff position shall be d e fin e d in writing.
Authority G.S. 131D-10.5: 1438-153.
864
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PROPOSED RULES
.0605 SOCIAL SERVICES
Social s e rvic e s shall b e gov e rn e d by Rul e s .0506 through
.051 1 of this Subchapt e r
Authority- G.S. BID. Art. lA: N3B-153.
.0606 CHILD CARE AND DEVELOPMENT
Child car e and development shall b e gov e rn e d by Rul e s .0512
through .0518 of this Subchapt e r
Authority G.S. 13!D. Art. lA; 143B-153.
SECTION .0700 - MINIMUM STANDARDS FOR THE
PHYSICAL FACILITY FOR GROUP HOMES
.0701 CONSTRUCTION: GENERAL
REQUIREMENTS
Any individual or organization proposing to build a new
facility or conv e rt an e xisting building for a group home for
childr e n must comply with North Caro l ina Stat e Building Code
which is adopt e d by r e f e r e nc e pursuant to G.S. 150B l ' l(c).
Authorities. 131D-10.5: 143B-153.
.0702 CONSTRUCTION: FUNCTIONAL
REQUIREMENTS
(a) Living Room.
<4-) ■" h e living room shall b e acc e ssibl e from an outsid e
e ntrance without going through sl ee ping ar e as or
food s e rvic e or pr e paration ar e a s .
^3) Th e living room shall hav e an area of 200 square
f ee t or. in e xisting buildings, shall be largo enough
to m ee t th e n ee ds of th e famiK. r e s i dents and guests.
(b) Dining Ar e a.
{M Th e dining ar e a shall be near th e kitch e n.
(3) Th e dining ar e a shall be a minimum of 120 squar e
f ee t in siz e or. in e xisting buildings s hall b e larg e
e nough to s e at all family, r es id e nt s and gu e sts
comfortabK. with adequat e spac e for s e rving food.
(c) Kitch e n. Th e kitchen shall bo larg e e nough to provid e for
pr e paration and pres e r>'ation of food and cl e aning of di s h e s.
(d) B e drooms.
{V) Rooms us e d for sleeping shall b e cl e arl\ id e ntifi e d
as b e drooms and s hall not se rv e dual functions.
(3) No child shall share a b e droom with an adult.
{¥) Each child shal l have hi s own b e d e xc e pt that
siblings of th e same sox max shar e a doub le b e d.
{A) Childr e n old e r than s ix y e ars old of diff e r e nt s e x e s
shall not share a b e droom.
{&) Each b e d shall b e not l e ss than 30 inch e s wid e nor
l es s in l e ngth than the height of the child.
{^ Each b e d shall b e provided vsith s ubstantial springs.
a comfortabl e mattr e ss and s uitabl e b e d cov e ring.
f7^ Th e r e s hall b e thr ee fe e t of floor spac e b e tw ee n
{;%) Bunk bods ar e not r e comm e nded. How e v e r, if th e y
ar e to be used. th e \ shall b e at l e ast fiv e f ee t apart.
{^ No day bed. convertibl e sofa or oth e r b e dding of a
(^
t e mporary nature shall b e used.
fW) B e droom s shall b e equipped with a minimum of 50
cubic f ee t p e r child for storage of clothing and other
p e rsonal b e longings except that shelter homes with
a maximum l e ngth of stay of 15 days shall b e
e quipp e d with a minimum of five cubic fo e t per
child for storage in b e droom s .
fl4^ B e drooms for multiple occupancy s hall provid e a
minimum of 80 squar e f e et for e ach child, excluding
clos e t and wardrob e s pac e . — B e droom s for single
occupancy shall provid e a minimum of 100 square
f ee t, e xcluding clos e t and wardrob e space except
that sh e lt e r hom e s with a maximum l e ngth of stay of
15 day s shall provide a minimum of '10 squar e foot
p e r child in multi occupancy b e drooms. — Rooms
with l e ss than 80 s quar e f ee t of floor ar e a shall not
b e u se d as b e droom s -
Bathrooms.
Bathroom s s hall b e locat e d as conv e nientiv as
W
possible to th e b e drooms.
(3^ The entranc e to th e bathroom cannot b e through a
kitchen or oth e r bathroom.
{^ Th e r e shall b e a minimum of two wat e r clos e ts, two
tubs or on e tub and on e show e r availab l e to
residents.
Authority- G.S. 13 ID. Art. lA: I43B-I53.
.0703 CONSTRUCTION:
REGULATIONS
(a) G e n e ral R e quir e m e nt s .
FIRE SAFETY
f4-) An e vacuation plan shall b e d e v e lop e d, and fire
drills shall b e h e ld at r e gular int e rvals to assur e that
both childr e n and staff ar e familiar with proc e dures
to b e follovv e d in the e v e nt of tir e .
{¥) Staff and childr e n shall b e train e d in prop e rly
r e porting a fir e , in e xtinguishing a small fire, and in
e scaping from a fir e .
{¥) Fir e e xits, that is doors, hallways, and stairs, shall be
w e ll lighted. They sha l l bo k e pt clear for pa s sag e
and ready for instant use.
All hom e s shall have a t e lephone.
(4^
{^ When alternato systems of heating are b e ing
considered, tho Division of Facility Services shall be
notifi e d in ord e r to approv e th e s>stem prior to
installation.
(b) Annual Insp e ction. In ord e r to b e e ligible for a lic e ns e , a
group hom e must r e c ei v e a satisfacton rating on inspection by
th e count\ building insp e ctor or local fir e d e partm e nt b e for e th e
hom e op e ns and annually th e r e aft e r.
Authority G.S. I3ID-I0.5: I43B-153.
.0704 CONSTRUCTION: HEALTH REGULATIONS
(a) Group hom e s must meet tho minimum standards as set by
tho North Caro l ina H e alth Services Commiss i on.
(b) Each group home shal l hav e and us e a dishwash e r which
is maintained i n good norkintz ord e r
13:11
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December /, 1998
865
PROPOSED RULES
(c) In ord e r to b e e ligibl e for a lic e ns e , a group hom e must
r e c e iv e an approv e d rating on insp e ction b\ th e count) s anitarian
b e for e th e hom e op e n s and annually th e r e aft e r.
Authority- G.S. 15ID-I0.5: 143B-153.
SUBCHAPTER 4IG - MINIMUM STANDARDS FOR
CHILD CARING INSTITUTIONS
SECTION .0500 - PRIVATE INSTITUTION
ORGANIZATION AND ADMINISTRATION
.0501 DEFINITIONS
(a) Child caring institution: a resid e ntial car e facility utilizing
p e rman e nt buildings locat e d on one sit e for 10 or mor e childr e n
who ar e d e p e nd e nt, n e gl e ct e d, abandon e d, d e stitut e , orphan e d-
d e l i nqu e nt, or oth e nvi se in n ee d of car e away from th e ir own
hom e and not held in d e t e ntion. Th e purpos e of a child caring
institution is to provide fost e r car e and related ser\ic e s for
ch i ldr e n who ar e unabl e to live in th e ir own hom e s. Exc e ption
can b e mad e vsh e n no mor e than two group hom es l ocat e d on
on e sit e and licens e d as m ee ting group hom e s for childr e n
standards ar e op e rat e d by a county departm e nt of social se rvic e s
or by a privat e program lic e ns e d to prov id e child car e or child
plac e m e nt s e rvic e s.
{b) — Dir e ctor: — the p e rson vsho is in charg e o^ th e facility,
d e v e loping and sup e rvising its program of car e an ' .e rvic e s.
(c) Chi l dr e n: includ e s p e r s ons r e siding in and und e r th e car e
of th e institution who ar e 18 to 21 y e ar s of ag e . Childr e n of st aff
m e mb e rs ar e not included.
Authority G.S. BID. .Art. I A: 143B-153.
.0502 PURPOSE
Th e purpo se of th e institution shall b e clearly defin e d in a
chart e r of i ncorporation which s hall b e fil e d in th e Qftlc e of th e
Secretary of Stat e . Ral e igh. North Carolina. Such d e finition s
s hall includ e th e g e ographical ar e a to be serv e d, th e childr e n
who will b e acc e pt e d for car e and th e s e rvic e s to b e provid e d for
th e s e childr e n and th e ir famili e s. — Changes in purpos e s of
program shall b e prov id e d for in amendm e nts to the charter filed
in th e Offic e of th e S e cretarv of Stat e .
Authority G.S. 13 ID. Art. lA: 143B-153.
.0504 LOCATION
Th e institution shall b e locat e d availabl e to schools, church e s,
hospitals, clinic s , m e ntal h e alth services and recreational
faciliti e s. Th e location shall provid e saf e and ampl e playgrounds
for childr e n in an ar e a conduciv e to th e ir h e alth and w e l l b e ing.
Authority G.S. 13 ID. .4rt. I A: I43B-I53.
.0505 GOVERNING BODY
Th e institution shall hav e a gov e rning board r es ponsibl e for its
prop e r funct i on in accordanc e w ith its purpos e s as s e t forth in a
charter of incorporation and in writt e n by law s adopt e d by th e
board:
fH Composition of Board
{st) Th e board shall b e compos e d of men and wom e n of
various occupations and e xperi e nce.
(^
Rf-
{i¥
(a^
(^
(4f-
Th e board s hall hav e a minimum of fiv e m e mb e rs
M ee tings of th e Board of Dir e ctors. A m ee ting of th e
gov e rning board s hall b e h e ld at least onc e a y e ar at
th e institution. Eith e r th e full board or its e x e cutiv e
committ ee (or e quival e nt) shall m e et at l e ast quart e rly.
Perman e nt r e cords shall bo maintain e d of all m ee tings
of th e governing board and th e e x e cutiv e committ ee .
Functions of th e Board
Th e gov e rning board s hall b e organiz e d and shall
function according to writt e n bylaw s adopted for the
jlation or manag e m e nt of th e affairs of the
r e gul
corporation.
Th e board shall b e r e sponsibl e for determining th e
purpos e s and — functions of th e in s titution. — fef
adopting polici es gov e rning th e admini s tration.
social s e rxic e s. child car e and d e v el opm e nt, and
physical plant of th e institution, and for assuring that
the — institution — functions — according to — polici e s
e stablish e d — by — the — board. The — board — shall
p e riodically r e vi e w th e in s titution's program to
d e t e rmin e if changes are needed.
fe-) Th e board shall e mploy a dir e ctor of th e institution
v\ho m ee t s th e qualifications in Rul e .050 8 of thi s
Subchapt e r and shall hav e r e sponsibility for its
op e ration. — Wh e n th e institution is one of several
faciliti e s gov e rn e d by th e s am e board, th e Dir e ctor
may b e hir e d by th e e x e cutiv e of th e ag e ncy who
shall b e e mploy e d by th e board.
If for any r e ason th e Dir e ctor i s unabl e to p e rform
assign e d duti e s, h e shall b e r e plac e d and an acting
dir e ctor appoint e d.
fe-) N« — m e mb e r — ef — the — gov e rning — board — Her
subcommitt ee s th e r e of s hall dir e ctly administ e r any
part of th e op e ration of th e institution. No e mploy ee
of th e institution shall b e a m e mb e r of th e governing
board.
(^) Th e board shall b e r e sponsibl e for supervi s ing any
inv e stm e nts of th e institution, approving the annual
op e rating budg e t and any major it e ms not inc l uded
in th e budg e t, authorizing a l l capital e xp e nditur e s,
and planning for s e curing adequat e financial support
for th e institution.
.Authority- G.S. I3ID-IU.5: I43B-I53.
.0506 FINANCES
(a-) — Th e institution shall hav e funds to m ee t th e costs of
carry ing out its d e fined purpos es and providing prop e r car e and
s e rvic es for th e typ e and numb e r of childr e n acc e pt e d.
(b) A budg e t shall b e approved by th e gov e rning board prior
to th e b e ginning of e ach fiscal y e ar showing s ourc e s and
amounts of incom e and prov iding for:
f-1-) salaries for r e quir e d numb e r of staff.
<-34 me e ting th e direct costs of car e for th e numb e r and
typ e of children acc e pt e d.
866
NORTH CAROLI.\A REGISTER
December 1. 1998
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PROPOSED RULES
(5)- maintenanc e of th e physical plant,
(4) m ee ting the cost of any propos e d e xpan s ion or
ropiacom e nt.
(e) — Financial accounts shall be maintain e d showing all
receipts, disburs e ments, ass e ts and liabiliti e s of th e in s titution.
The accounting records shall b e maintain e d on a curr e nt ba s is
and conform to g e n e rally acc e pted accounting principl e s.
Financial reports shall b e mad e to th e board at l e ast quart e rly.
{4) — All financial r e cords of th e institution which r e c e iv e s
gov e rnm e ntal funds shall b e audit e d annually and th e audit
r es pon s ibiliti e s:
fH We — steH — have — r e sponsibility — fer — int e rpr e ting
e stablished standard s of child car e and for initiating
and carr^'ing out a sound program in accordance
with these standards.
^2) He shall prepare th e institution' s budg e t with th e
assistanc e of those whos e responsibiliti e s or abilities
qualify' th e m to h e lp. Th e budg e t shall b e pr e s e nted
to th e board for approval.
(3^ H e shall b e r es ponsibl e for all cu s tomary' purchases
gov e mm e nia i runos snaii o e auoit e a annuany ana in e auoit ^^ n e snan o e r es ponsmi e ror an cu s iomar>' purcnascs,
r e port mad e a part of th e institution's p e rman e nt r e cords. Th e with delegation of actual work to d e signat e d staff
niirtit rhgll — ho mnHp \\\i on — inHonnnHnnt n i ihlip — nrrniintfint nr U^a — r . hnll — r.r > pi i rn — nnnrn\ i fnl — £cu: — mninr — i t a m t: — nnf
audit shall b e mad e by an ind e p e nd e nt public accountant or
public accounting firm. A copy of the audit shall b e submitt e d
each y e ar to th e D e partm e nt of Human R e sourc e s.
( e ) Th e provisions of the North Carolina law with r e gard to
th e s olicitation of funds as found in th e G e n e ral Statut e s of
North Carolina. Chapter 13 IC. Charitabl e Solicitation Lic e nsur e
Act. shall be met b> thos e in s titutions carrying out campaign s
within the purvi e w of this law.
H e shall secure approval for major it e ms not
authoriz e d in th e budg e t.
(4^
44e — shaH — be — r e sponsibl e — fef — employing — and
discharging all m e mb e r s of his staff with delegation
of actual work to d es ignat e d s taff
{§>) H e shall hold s taff m ee tings at r e gular int e rvals and
di s cuss plans and polici es with his staff
-He — shaH — provid e and promot e a program of
AuthormG.S. I31D-I0.5: I45B-153.
.0507 STAFF: GENERAL
The institution shall provid e th e s taff and s e rvic e s n e c ess ary to
insur e th e prop e r car e and s af e ty of childr e n in car e . — Staff
m e mb e r s who provid e dir e ct car e for childr e n in th e institut i on
or pr e par e th e ir food sha l l hav e a physical e xamination
compl e t e d by a physician, phy s ician ^ a s si s tant, or nur se
practition e r, h e r e aft e r r e f e rr e d to a s "lic e n se d m e dical provid e r",
within at l e a s t six month s b e for e b e ginning work and bi e nnially
th e r e aft e r. — A TB skin t e st i s r e quir e d prior to assuming th e
position and annually th e r e aft e r, e xc e pt wh e n th e lic e ns e d
m e dical provid e r advis es again s t it. Examinations shal l include
t e sts n e c e ssary to d e t e rmine that th e staff m e mb e r is able to carrv' Authority G.S. 131D-10.5: 143B-153.
out assign e d duti e s and do e s not have any communicab l e dis e ase
e ducation — for — the — continu e d — training — and
developm e nt of th e staff. — H e shall b e r es pon s ibl e
for th e e ff e ctiv e n e s s and e ffici e ncy of hi s s taff.
f7^ H e shall es tabli s h and maintain coop e rativ e working
r el ationships with oth e r s ocial ag e nci es in th e
community — and — hav e — r e spon s ibility — for — the
int e rpr e tation of th e institution's program.
ifi) H e s hal l hav e r es ponsibility for administration,
socia l s e rvic e s, th e child car e program and th e
w-
physical plant of th e institution with d ele gation of
actual work in th ese ar e as a s i s appropriat e .
H e s hal l del e gat e authority to a qualifi e d staff
m e mb e r during his abs e nc e from th e institution.
or condition which pos e s significant risk of transmis s ion in th e
facility.
Authority G.S. I3ID-10.5: 143B-I53.
.0508 THE DIRECTOR
(a) Th e r e shall b e a full tim e dir e ctor to sup e rvis e th e program
.0509 SUPERVISORY STAFF/PROFESSIONAL
SERVICES
(a) Th e D e partm e ntal h e ads, unit dir e ctors, s up e rvi s ors, and
oth e r manag e m e nt staff shall b e qualifi e d by e ducation, training,
and e xp e ri e nc e for th e particular job r e sponsibiliti es to which
th e y ar e as s ign e d.
fb) — Th e institution shall hav e availabl e tho se prof es sional
of car e and s e rvices of an in s titution lic e n se d for 20 or mor e s e rvic e s which assur e appropriat e car e for childr e n. — Such
childr e n, and a dir e ctor at l e a s t part tim e for an institut i on
lic e ns e d for l e ss than 20 childr e n.
(b) Th e Dir e ctor shall hav e e ducation, training, and e xp e ri e nc e
that qualifies him for planning, administ e ring, and supervising
a r e sid e ntial child care program.
fe^ — A dir e ctor appoint e d aft e r th e e ff e ctiv e dat e of th e se
standards sha l l hav e a degree from an accr e dit e d four y e ar
coll e g e or univ e rsitv and shall hav e at l e ast two v e ars of work
prof es sional s e rvic e s shall includ e thos e of doctors and d e ntists,
nurs e s, social work e rs, psychologists, psychiatri s ts, di e titians,
h e alth e ducators and t e ach e rs.
.Authority G.S. 13ID-10.5: 143B-153.
.0510 CLERICAL STAFF
The — institution — shaH — have — cl e rical — s e rvic e s — te — keep
e xp e ri e nc e , on e of which wa s in a s up e rvison capac i t). in the corr e spond e nc e , r e cord s , bookk e eping and fil e s curr e nt and in
field of child w e lfare s e rvic e s, h e alth s e rvic e s, e ducation. good ord e r. Th e r e shall b e at l e ast on e cl e rical p e r s on on th e
psycho l ogy, social s e rvic e s, r e ligious education, or oth e r alli e d s taff
profession.
(d) The Dir e ctor s hall b e in charg e of th e op e ration of the Authority- G.S. 131 D. Art. lA: I43B-I53.
institution, making at l e ast quart e rly reports for th e board on all
phas e s of its op e ration. H e shall hav e th e following .0511 CHILD CARE STAFF
13:11
NORTH CAROLINA REGISTER
December 1, 1998
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PROPOSED RULES
(a) Th e re shall be at least on e child car e work e r as s ign e d for
dir e ct car e and supervision to e ach living unit or group of
childr e n at all tim e s.
staff to provid e admission, r e sidential, and discharg e s e rvices to
childr e n and th e ir famili es . To b e qualifi e d, s taff e mployed to
provid e social se rvic e s aft e r th e e ff e ctiv e date of th e s e s tandardj f
fb) — Th e ratio of child car e staff who ar e e mploy e d by th e shall hav e a d e gr ee in a human s e rvic e fi e ld from an accitdili- B
institution to provid e car e and s up e rvision for childr e n sha l l b e four y e ar coll e g e or univ e r s ity. — Th e y shall b e familiar with
on e for e v e ry t e n childr e n six y e ars of ag e and old e r and on e for
e v e ry e ight childr e n young e r than six y e ar s of ag e includ e d in
th e living unit. If a living unit has al l childr e n young e r than six
y e ar s of ag e th e r e s hall b e on e child car e work e r for fiv e Authority- G.S. 131D-10.5: 143B-153.
childr e n. Staff includ e d in the ratio ar e child car e work e rs and
community r es ourc es for childr e n and their famili e s in addition
to th e institution's s e rvic es .
s up e rvisors of child car e . Relief staff are not includ e d in th e
.0602 ADMISSION SERVICES
(a) Admission policies shall b e cl e arly d e fin e d in writing and
(c) Each m e mb e r of th e child car e staff shall b e s e l e ct e d on th e availabl e to p e rsons or ag e nci es making inquiri e s. Admi s sion
polici e s shall b e car e fulK r e vi e w e d from tim e to tim e and
chang e d a s n ee ds and conditions in th e community chang e .
basi s of hi s knov^ l e dg e , e xp e ri e nc e , and comp e t e nc e r e quir e d in
caring for childr e n.
(d) Child care staff shall b e no young e r than 18 years of ag e . (b) Admission s e rvic e s shall be in accordanc e with th e stated
^ — Each child caro work e r shall be provid e d qualifi e d. polici e s of th e institution. Admissions shall b e limit e d to those
comp e t e nt sup e rvision in th e ar e as of hom e manag e m e nt, child childr e n who n ee d car e apart from th e ir famili e s and for whom
th e institution i s qualifi e d by staff, program, facilities, and
s e rvic e s to giv e appropriate car e .
r e aring, family lif e e ducation, sound h e alth practic e s and h e alth
maint e nanc e , and food preparation and nutrition \shen m e als ar e
pr e par e d in the living unit s by th e child car e work e rs.
Aiithorit}- G.S. I3ID-I0.5: I43B-153.
.0512 MAINTENANCE STAFF
Th e r e s hall b e a suffici e nt numbr*- of maint e nanc e staff to
a ss ur e that th e op e ration and maint e nu - e of th e institution shall
not b e d e p e ndent upon th e work of th e childr e n in car e .
(c) Staff r e sponsibility for d e ci s ion s on admis s ions shall b e
cl e arly es tablish e d.
(d) D e cision s on admissions shall b e bas e d upon a studv of the
total situation of th e child and his particular n ee d s . Th e study
shall — b e mad e prior to admission and shall — includ e all
information which will e nabl e a car e ful analysis of the
app lica tion to d e termine if th e in s titution's program of care is
appropriat e for th e child.
( e ) Wh e n par e nts or oth e r r e lativ e s with l e gal r e sponsibility^
for a child apply for th e child's adm i ssion th e institution shal^
a s c e rtain what communitv r e sourc e s ar e availabl e to k ee p th e
child in his own hom e , such as financial as s istanc e , hom e mak e r
s e rvic e s, day care s e rvice s , and other supportive services.
s hall adh e r e to th e polici e s. — Th e s e polici e s shall includ e Countv d e partm e nt s of social s e rvic e s wh e r e r e qu e st e d can a ss ist
AulhorityG.S. 131D..4rt. I A: 143B-I53.
.0513 PERSONNEL POLICIES
(a) Th e institution shall hav e writt e n p e r s onn e l polici e s and
complianc e with al l applicabl e state and federal laws:
f-H Job D e scriptions. Th e r e shall b e a curr e nt writt e n
job d e scription for e ach position which includ e s
famili e s in e valuating communir\ r es ourc es availabl e to th e m,
(f) Childr e n s hall b e acc e pt e d by writt e n application sign e d b>
th e p e rson or r e pr e s e ntativ e of th e ag e ncv having l e gal authorit>
qualifications for the position, the duti e s of th e to plac e th e childr e n. Writt e n agr ee m e nts shall b e mad e s e tting
position, and sp e cifi e s to whom th e e mploy ee i s
r es ponsibl e .
forth th e r e sponsibilities of th e inst i tution and of th e p e rson or
ag e ncv ha\ ing l e gal authority for caring and planning for th e
{^
L e av e . — Th e institution shall hav e a writt e n policy child. — Prov i sion shall b e mad e for continuing r e lationships
which — provides — r e sid e nt — staff — with — dir e ct
r e sponsibility for childr e n a minimum of s ix 2 4 hour
day s off duty e ach month,
fr ee tim e off dut\ e ach da\.
betw ee n th e institution, the l e gally r es ponsibl e p e rson or ag e ncx.
and th e child during th e p e riod of p l ac e m e nt.
The> shall have som e (g) Th e provision s of th e North Carolina int e rstate placement
laws (G.S. 110 50 to 110 57 and 110 57.1 e t. s e q.) shall b e m e t
fiV
Di s mi s sal. Th e r e s hall b e a polic\ conc e rning th e wh e n out of state children are b e ing con s id e r e d for admi ss ion or
discharge of employ ees which includ e s a gri e vanc e
procedure,
(b) Living quart e rs shall b e provid e d for all staff whos e job
r e sponsibiliti e s r e quir e them to liv e within th e institution.
Authority G.S. 13ID-I0.5: 1438-153.
SECTION .0600 - PRIVATE INSTITUTION SOCIAL
SERVICES
.0601 STAFF
Th e in s titution s hall hav e on e or mor e qualified persons on its
discharg e . North Carolina int e rstat e plac e ment l aws r e quir e th e
approval of th e North Carolina D e partm e nt of Human R e sourc e s
prior to plac e m e nt of a child b\ an out of stat e ag e nc\.
Corr es pondence relativ e to admission, progr es s, and discharg e
of childr e n in custodv of out of stat e ag e nci es shall b e rout e d
through th e North Carolina Departm e nt of Human R es ourc e s,
division of social s e rvic e s, as outlin e d in its op e rational manual.
<4^) — No child shall b e acc e pt e d in an in s titution without a
m e dical e xamination and a s tat e m e nt sign e d b\ a lic e ns e d !
m e dical provid e r sp e cily ing the child's curr e nt m e dica l condition *
and m e dications pr es crib e d and indicating th e presence of ans
communicabl e dis e as e or m e dical condition which ma\ po se a
H6H
NORTH CAROLINA REGISTER
December I, 1998
13:11
PROPOSED RULES
significant risk of transmission in th e facility.
fh) — In th e e v e nt of e mergency admissions th e r e quir e d
(a) Staff r e sponsibility' for d e cisions on discharging children
shall b e clearly established. Childr e n und e r 1 8 years of ag o shall
admi s sion proc e dures shall b e completed within two w e eks b e di s charg e d to th e p e rson or ag e ncy having l e gal custody of
following admi ss ion. If mor e than fiv e perc e nt of an institution's th e childr e n, in s ofar a s possibl e th e r e leas e of each child shall
population ar e admitt e d on an emerg e ncy basis, in any 1 2 month b e planned with him and with the person or r e pr e sentativ e of the
ag e ncy having l e gal r e sponsibilit> for him allowing time for
arrang e m e nt s to b e mad e for th e child's care. In all cas e s the
d e ci s ion to di s charg e a child and th e child's d e cision to l e av e the
institution shall b e mad e known to th e p e rson or ag e ncy having
l e gal r e sponsibility for the child and opportunity' provided for
discussion of this action.
(b) Childr e n shall not b e r e l e as e d and admitted to th e car e of
anoth e r institution or tr e atm e nt facility without the knowl e dg e
and cons e nt of th e p e rson or ag e ncy having l e gal authority' for
placing th e child.
AulhorinGS. I3ID-10.5: I43B-I53.
.0605 RECORDS
(a) The institution shall maintain cas e r e cords for th e purpos e
ef;
f+^ prot e cting th e l e gal rights of th e child, his par e nts
period, th e institution shall provid e an id e ntifiabl e program for
the provi s ion of e merg e ncy car e in a living unit s e parat e from
oth e r children in r e sid e nc e .
Authority G.S. 131D-10.5: 143B-153.
.0603 RESIDENTIAL SERVICES
(a) Each child in car e shall hav e a s taff person r e sponsibl e for
as s i s ting him in making th e best use of his stay in th e institution.
This shall includ e opportunities to talk privat e ly about his
e xp e ri e nc e s living in th e institution and to e xpr e s s gri e vanc e .
Prof e ssional se rvices shall b e mad e availabl e for childr e n who
n ee d h e lp in r e solving p e rsonal or family probl e m s .
(b) Arrang e m e nts shall b e mad e for staff to talk with par e nts.
r e lativ e s. — w — repr e s e ntativ e s — ef — ag e nci es — having — l e gal
r es ponsibility, about an individual child's car e and adjustm e nt in
the institution.
fe-) — Visiting polici e s for th e in s titution s hall b e fl e xibl e to
allow parents, r e lativ e s, and fri e nds to visit with childr e n at l e a s t
t\vic e a month.
fd^ — No child shall b e allow e d to visit with anyon e for
weekends, holidaxs. and vacations without th e cons e nt of th e
p e rson or ag e nc\ having l e gal r e sponsibilitv for him.
(e) If th e institution us e s privat e famili e s in th e communitv a s
visiting hom e s for childr e n th e int e r es t s , n ee ds, and w e lfar e of e ach child:
e ach child shall be cons i d e red in arranging th ese visits. Th e
institutions shall ass e ss e ach privat e family to b e us e d as a
visiting hom e to d e t e rmin e if th e family can prov i d e prop e r car e
and supervision for children.
(f) A r e view shall be mad e at l e ast onc e a y e ar of e ach child
in car e to r e ass e ss his n ee ds. Th e r e vi e w is to id e ntify what t>'pe
of care and s e rvices are n e eded b\ th e chi l d, if he needs
continued care in th e institution, or if his famiK circumstances
have changed and he can be return e d to his home.
(g) Wh e n a child whose par e nt s plac e d him in th e institut i on
no longer has his par e nts available to him du e to th e ir d e ath, or
incapacit>. or abandonment of th e child, th e in s titution s hall
r e fer the matter to th e count>' d e partm e nt of s ocial se rvic es or
court having jurisdiction or to an attorn e y with th e r e qu e st for a
l e gal guardian or custodian to b e appoint e d for th e child.
(+H — Wh e n adoption is in the best interest of a child who se
parents ar e deceas e d or whos e par e nt s or oth e r r e lativ e s cannot
provide a hom e for him. r e f e rral for adoption s e rvic e s shall b e
discus s ed with the person or ag e ncy r e pr e s e ntativ e having l e gal
r es ponsibilits for the chi l d.
(i) Th e institution shal l not plac e or att e mpt to plac e childr e n
fi-om th e institution in fost e r fami l y or adoptiv e hom e s unl e ss th e
institution is an ag e ncy licens e d to provid e fost e r family or
adoption s e rvic e s.
Aulhoiitt- G.S. 1 31 D- 10. 5: 143B-153.
and l e gal cu s todian, and th e in s titution:
docum e nting th e kinds of se rvic es r e nd e r e d to a
ch i ld and his family: and
providing a sourc e of information about individual
childr e n, as v\ el l as information for th e institution in
planning its program of car e and s e rvic e s,
(b) Cas e r e cord s s hal l includ e th e following information for
Of-
(^
f+^
compl e t e d application form sign e d by th e p e rson or
ag e ncN having l e gal authoritv to plac e th e child:
{¥) a pr e admi s sion study of th e child and hi s family
situation, including an e xplanation of custody and
l e gal r e sponsibility for th e child as indicat e d by
parental — statements. — court — ord e r s . — or — ag e ncy
agreements:
a v e rification of birthdat e :
(^^
(-4^ m e dical — cons e nt — sign e d — by — the — p e rson — er
r e pr e s e ntativ e of th e agency having lega l custody of
th e child:
{^ agr ee m e nts indicating th e r e spon s ibiliti e s of th e
p e rson or ag e ncy having l e gal r e sponsibilitv for th e
child and th e institution in planning and caring for
th e child:
agr ee m e nt s and con se nts for visits outsid e th e
m s titution:
r e ports of th e pr e admis s ion m e dical examinations.
including immunizations, and r e ports on all m e dical,
d e ntal or p s \chologica l se rvic e s provided \shil e th e
(*)
chi l d i s in car e :
a writt e n summar> pr e par e d at l e ast annually of th e
.0604
DISCHARGE SERVICES
r e vi e w of th e child's n ee ds, hi s progre s s or lack of
progr e ss — m — eare — and — chang e s — m — hts — family
circumstanc e s:
{^ a — discharg e — summar>' — indicating — date — and
circumstanc e s of discharg e and plan for car e in th e
communitN.
13:11
NORTH CAROLINA REGISTER
December 1, 199H
S69
PROPOSED RULES
(c) The institution shall maintain a r e cord of e ach r e qu e st for
admi s sion rec e iv e d during a curr e nt y e ar, th e action tak e n on th e
r e qu e st, and th e dispo s ition mad e .
Aiiihorin-G.S. I31D-IU.5: 143B-153.
.0606 REPORTS
Th e in s titution shall submit an annual r e port to th e D e partm e nt
of Human R e sourc e s on Form DSS 1 843. annual r e port to th e
D e partm e nt of Human R e sourc e s, divi s ion of social s e rvic e s.
AiilhorityCJ.S. 1 31 D. An. I A: 143B-153.
SECTION .0700 - PRIVATE INSTITUTION CHILD
CARE AND DEVELOPMENT
.0701 SOCIAL ASPECTS OF CARE
(a) Th e Child as an Ind i vidual
f+4 BaclT — eWW — &haH — be — consid e r e d — an — individual
p e rsonality; He — s}»H — be — giv e n — appropriat e
opportuniti e s for growth a s a uniqu e individual, for
l e arning on hi s own a s w e ll as in a group, for doing
things by hims e lf, for hims e lf as w e ll as with and for
oth e rs.
(24 Efforts shall b e mad e to giv e e ach child s uffici e nt
individual att e nton and aff e ction to comp e nsat e in
som e degr ee for i ' r e gimentation of group living.
{^ Each child shall hav e th e opportunity to fomi
constructiv e r e lationships with staff of both s e x e s.
(-4-) Each child s hall b e allow e d to e xp e ri e nc e own e rship
and hav e his own plac e to k ee p his pos ses sions.
f?4 Each child shall hav e p e rsonal clothing and hav e his
oun plac e to k ee p his clothing. H e s hall b e allow e d
to tak e part in s e l e cting his clothing according to his
ag e and ability to do s o. — Wh e n h e l e av e s th e
institution h e shall b e allow e d to tak e his clothing
with him.
(44 Each child shall b e giv e n th e opportunity of l e arning
tl^e — valu e — asd — us e of mon e y through — e arning.
s p e nding, giving and saving. Each child shall have an
allowance appropriat e to hi s ag e to sp e nd as h e
wish e s.
(b) Th e Child and his FamiK
(-H Vpfi — institution — shall — provid e — and — e ncourag e
opportuniti e s for e ach child to maintain contact and
visi t with par e nts, siblings and r e lativ e s both at th e
institution and away from the institution insofar as
circum s tanc e s p e rmit, and th ese contact s and vi s its ar e
approv e d b\ th e p e rson or ag e ncy having l e gal
r es ponsibi l it) for th e child wh e n oth e r than th e natural
parents.
(24 No humiliating r e marks about a child's par e nts.
r e lativ e s, or guardian shall b e mad e to th e child or to
oth e r childr e n in th e institution.
(€4 — Th e Child and th e Institution. — Each child shall b e
as s ign e d to th e car e of a child car e work e r v\ho shall b e
r e sponsibl e for assuring his daily car e . Each child s hall b e giv e n
th e opportunit> to discuss an\ p e rsonal conc e rns in confid e nce
with his child car e work e r.
(d) Th e Child and th e Community
(+4 Th e institution shall mak e whatever e fforts ar e
po s sibl e toward helping th e children hav e normal !
contact s in th e communitv' in which the institution is
locat e d such as participation in school functions-
r e cr e ational
faciliti es
character building
organizations, church youth groups, and part time
paid or volunt ee r jobs.
(34 Childr e n shall b e e ncourag e d to form fri e ndship s with
childr e n outsid e th e in s titution, to visit th e ir fri e nds in
th e community and have th e ir fri e nds visit th e m in th e
institution. Childr e n shall hav e acc e ss to t e l e phon e s
to provide th e m with opportunit\ to maintain contact
with fri e nd s and family m e mb e rs,
( e ) Disciplin e
(+4 Th e institution shall hav e cl e arly d e fin e d, written.
r e a s onabl e disciplinarx polici e s which ar e fair to
children and staff. Those polici e s shall b e dir e ct e d at
h e lping e ach child d e v e lop hi s own s e lf control and
assum e r es ponsibilir\ for his own acts. Th e s e polici e s
shall includ e m e a s ur e s to prot e ct childr e n from abuse.
(34 Administration — of discipline — shaki — b e an — adult
responsibilit>. No ch i ld or group of childr e n s hall b e
allow e d to punish anoth e r child.
(54 R e qu e sts mad e of childr e n and standards s e t for their
behavior shall b e r e asonab le and within their abilitx to
achieve .
(44 Childr e n shall not b e subj e ct e d to cru e l, s e v e r e or
e xc e ssiv e punishment inc l uding, but not limited to.
phy s ical abuse, verbal abus e , lock e d confin e m e nt.
d e privation of food, of mail, and of family vi s its and
contact s .
Work As s ignm e nts
(fi-
(4
Work assignm e nts for childr e n in th e institution shall
b e plann e d for a child to hav e m e aningful work
e xp e ri e nc e s and to de\ e lop good work habits and a
se ns e of r es pon s ibility.
(34 Work assignm e nts shall b e mad e according to th e ag es
and abiliti es of childr e n. Childr e n shall b e provid e d
adult s up e rvision on their work assignm e nts.
(^4 Work assignm e nts shall not int e rf e r e with school-
r e cr e ation. stud> p e riods, ad e quat e sl ee p, communitv
contacts and visits with famiK.
(44 Childr e n shall not b e s ub s titut e s for e mploy e d s taff
(^
Th e \ shall not b e r e quir e d to carry out responsibiliti e s
of s taff
An in s titution shall not r e quir e a child to work for th e
purpo s e of paying th e institution for hi s car e ,
(g) Exp l oitation
(44 — No child s hall b e used in any way to solicit funds.
N e ith e r shall h e b e id e ntifi e d in conn e ction vsith
p«
blicirv for th e institution in an\ wav which will
bring him or his family e mbarras s m e nt. — Writt e n
p e miission shall b e obtain e d from the person or
ag e nc\ hav i ng l e gal responsibilir\ — for each child
b e for e picture s or any oth e r m e ans of id e ntifying
childr e n are u se d in publicity or publ i c r e lations
870
NORTH CAROLINA REGISTER
December I, 1998
13:11
PROPOSED RULES
(3)-
ofFort s of th e institution.
No child s hall bo forc e d to acknowl e dg e in public hi s
d e p e nd e ncy on th e institution or hi s gratitud e to it.
Authority G.S. I31D-W.5: 143B-153.
.0702 RECREATION
{Sr) — Th e institution shall provid e individual and group
r e cr e ational opportunities appropriat e to th e ag e . int e r es t, and
n ee ds of each child. — Suitabl e spac e and comp e t e nt adult
dir e ction shall b e provid e d for both indoor and outdoor
recr e ational activiti e s.
(b) The recreational program shall provid e opportuniti es for
boys and girls to play tog e th e r a s w e ll as s e parately. For older
childr e n a dating policy shall b e e stablished which will allow
thom opportuniti es for d e v e loping social r e lationships with
oth e rs of th e ir own ag e group in the institution and in th e
community.
Authority G.S. 131D-10.5: I43B-153.
.0703 EDUCATION
(a) Th e institution shall s ee that e ach child of s chool ag e i s
provid e d an education in a public school or nonpublic school
which is op e rat e d in accordanc e with th e public school l aws o* ^
with th e nonpublic school law s of North Carolina.
(b) If a school i s maintain e d and op e rat e d by th e in s titution,
or an e ducational program is op e rat e d by th e institution which
chi l dr e n att e nd in li e u of att e nding schools off campus. — the
institution s hall comply with N.C. G e n e ral Statut e s gov e rning
nonpublic schools.
fe-) — Faciliti e s s hall b e provid e d by th e institution for hom e
study and for r e f e r e nc e book s . — Provisions shall b e mad e for
r e m e dial a s si s tanc e as indicat e d by th e n ee d s of th e childr e n.
Authority G.S. 13ID-I0.5: I43B-153.
.0704 RELIGIOUS TRAINING
(a) Each child s hall hav e opportuniti e s for r e ligious e ducation
and to att e nd r e ligious s e rvic e s.
fb-) — Each institution sha l l hav e cl e arly d e fin e d polici e s
r e garding r e ligious training and practices for th e information of
tho se con s id e ring plac e m e nt of childr e n in th e institution.
Authorit\'G.S I3ID-I0.5: 1438-153:
.0705 MEDICAL PROGRAM
The institution shall hav e a plann e d program of medical car e
which shall b e impl e m e nt e d and includ e e ach child in care:
(-H Admis s ion R e quir e m e nt. Each child shall have had a
medical — e xamination — prior to — admission. The
e xamination s hall b e r e port e d in writing and sp e cif^'
any medical condition th e child might hav e r e quiring
obs e rvation. — monitoring — er — tr e atm e nt — and — any
m e dications prescribed.
^ M e dical Car e
(a) Arrang e m e nts shall b e mad e with on e or mor e
lic e n se d medical physicians or m e dical clinics
(^
for th e m e dical car e of th e children.
(b^ Each child shall hav e a phy s ical e xamination at
l e a s t onc e a y e ar and mor e oft e n a s n ee d e d. A
child shall not b e allow e d to participat e in
activiti e s injurious to his h e alth. Any illness,
dis e a se — ef — m e dical — condition — r e quiring
ob se rvation, monitoring or tr e atm e nt of a child
shall be identified and treat e d promptly through
prop e r medical care. — Childr e n shall have
psychiatric or psychological examination or
both wh e n — indicat e d and tr e atment when
pr es crib e d.
fe^ Th e child care staff shall b e in s truct e d as to
what m e dical car e may b e giv e n by th e m
without specific orders from a licens e d m e dical
provid e r. Th e y s hall b e instruct e d a s to how
and wh e n to obtain furth e r car e and how to
handl e e m e rg e nci e s.
{¥) Hospital Car e . Arrang e m e nt s s hall b e mad e with a
ho s pital for th e admis s ion of childr e n from th e
institution — m — the — event — ef — s e riou s — illn e ss — er
e m e rg e ncy.
{4) First Aid. At l e a s t on e m e mb e r of th e child car e s taff
on duts at any giv e n tim e s hall hav e tak e n a cours e in
first a i d giv e n by a qualifi e d in s tructor and b e abl e to
administ e r fir s t aid. First aid kit s shall b e availabl e .
Hom e H e a l th Car e
fa) Th e institution s hall not e . igag e in any hom e
h e alth car e practic es that conflict with th e
control m e asur e s for communicab le di se as e s in
15A NCAC 19A .0200, which is incorporat e d
by r e f e r e nc e including s ub se qu e nt am e ndm e nts
and e dition s . — A copy of 15A NCAC 19A
.0200 may b e obtain e d from th e Offic e of
Administrativ e H e ar i ng s . P.O. Draw e r 27'M7,
Ral e igh. — Nef#i — Carolina — 27611, — (4W)
733 2678, at a cost of two dollars and fifty
c e nts ($2.50) at th e tim e of adoption of thi s
Rule. A copy is availabl e for insp e ction in th e
Childr e n's S e rv i c e s S e ction, N.C. Divi s ion of
Social — Servic e s. Albemarl e Building. 325
North Sa l isbury Street. Ral e igh. North Carolina
¥4m^.
fb3 Each m e mb e r of th e child car e staff shall b e
abl e to recogniz e common symptoms of
illnesses in childr e n. Th e child car e staff shall
b e alert to any infectious condition of th e
children and shall take prop e r pr e cautions to
prevent the spread of such condition.
(e) — Th e ch i ld care staff shall b e abl e to provid e
home — nursing — eare^ A — st e ril e — clinical
th e rmom e ter shall b e k e pt available for us e .
Wh e n appropriat e , arrang e m e nt s shall be mad e
for isolation and att e ndant car e of a child with
a communicabl e dis e a se .
-(4) M e dicin e s sha ll b e stor e d in a separat e cabin e t.
clo se t or box not acc ess ib le to childr e n.
M e dical R e cords. Each child shall hav e a p e rsonal
(^
13:11
NORTH CAROLINA REGISTER
December 1, 1998
871
PROPOSED RULES
m e dical record which shall includ e th e r e port of th e
physician who examin e d him prior to admission to th e
amounts n e c e ssary to m ee t th e National Re se arch Council's
r e comm e nd e d daik di e tar\ allowances. Special di e ts shall be
institution, a r e cord of his immunizations, con se nt for plann e d to m ee t an\ modifi e d food n ee ds of individual childrer
m e dical car e s ign e d by th e p e rson or r e pr ese ntativ e of (b) Nouri s hing snacks shall b e provid e d and may b e part o B
th e ag e nc> having le gal custodx of th e child, a r e cord th e daily food n ee ds, but th e v shall not replace r e gular m e als.
Snacks ar e to b e r e cord e d on th e r e gular m e nu. R e comm e nd e d
snacks ar e milk, fr e sh fruits and v e g e tabl e s, choose, peanut
butt e r, nut s , popcorn, crack e rs, and occasionalK. cooki e s.
(c) M e nus shall b e plann e d and writt e n b\ or in consultation
with a r e gist e red nutritionist or dietitian. W^ e n food s e rvic e s ar e
not dir e cted b\ a nutritionist or dietitian, who is d e fin e d as a
graduate of a school of hom e economic s or di e t e tics, p e riodic
consultation with a r e gist e r e d nutritioni s t or di e titian shall be
impl e m e nt e d. — R e cord s of consultations and r e comm e ndations
shall b e maintain e d b\ th e facility.
(d) M e nus shall b e plann e d and writt e n at least on e we e k in
advanc e to insure tho mooting of nutritional n e eds and to giv e th e
basis for purchasing to m ee t th e se noods.
( e ) Childr e n and staff m e mb e rs who eat with th e m shall b e
s e rx e d th e sam e food e xc e pt for t e a and coff ee , unless
diff e r e nc e s in ag e or special di e tarx ne e ds are factors.
of each phvsical e xamination and of m e dical car e
giv e n whil e th e child is in car e . — Th e latt e r shall
includ e — a — r e cord — of hospitalizations. — all e rgi e s,
significant illn e sses or accid e nt s and tr e atm e nt given.
AiithormG.S. 131D-1Q.5: 143B-153.
.0706 DENTAL PROGRAM
Th e in s titution s hall hav e a plann e d program of d e ntal car e
and d e nta l h e alth which shall b e follow e d for e ach child in car e :
(4^ Routine Care and Tr e atm e nt
<*) Arrangements shall b e mad e w ith on e or mor e
lic e ns e d d e ntists for the d e ntal caro of tho
childr e n.
ib) Each child s hall hav e a d e ntal e xamination at
l e a s t onc e a >ear and tr e atm e nt as indicat e d.
{-) D e ntal R e cords. Includ e d in a child's medical record
shaH — be — a — d e ntal — r e cord — indicating — dat e s — €^4'
e xamination and tr e atm e nt.
Authohn-I.S. 13 ID. An. !A: I43B-153.
AuthorinG.S. 13ID-10.5: 143B-I53.
SECTION .0800 - PRIVATE INSTITUTION
BUILDINGS: EQUIPMENT AND SAFETY
.0707 ROUTINE HEALTH CARE AND PERSONAL
HYGIENE
.0801 CONSTRUCTION
(a) Construction plans for n e w. r e construct e d or r e noxat e d i
fa-) — Staff s hall routin e N appl> g e n e ral inf e ction control buildings shall b e compatibl e with th e child car e function of th e'
proc e dur e s which s hall includ e but not b e limit e d to Imix e rsal
Pr e cautions specifi e d b> th e C e nt e rs for Dis e as e Control. U.S.
D e partm e nt of H e alth and Human S e rvic e s. Public H e alth
institution and its program n ee d s . A child caring institution shall
not off e r in the s ame building two differ e nt types of occupancv
or programs of car e .
S e rvic e s. Atlanta. G e orgia which is incorporat e d b\ r e f e r e nc e (b) All local and stat e building cod e s and zoning r e gulations
including subs e quent am e ndments and editions. A cop\ of that
docum e nt ma> b e obtain e d from th e National y\IDS Information
Cl e ariniihous e . PO. Box 6003. Rockxill e . Man land 20 8 ,^0.
1 800 158 5231. at no cost for a singl e cop> at th e tim e of th e
adoption of thi s Rul e . A cop\ is availabl e for insp e ction in th e
Childr e n's S e rvic es S e ction. N.C. Division of Social S e rvices.
Alb e marl e Building. 325 North Salisburv Street. Raleigh. North
Carolina 27603.
fb4 — Children shall b e taught and h e lp e d to d e v e lop good
s hall b e compli e d with in th e construction of a n e w child caring
institution, in th e conv e rsion of an e xi s ting building for child
caring institution purpos e s, and in th e r e mod e ling of an e xisting
child caring institution.
AuthorinG.S. I3ID-10.5: 143B-I53.
.0802 REQUIREMENTS FOR APPROVAL
fa-) — Pr e liminapv and final construction plans for all n e w
h e alth car e . Each child s hall hav e e nough sleep for his age at buildings and o\' all conv e rsions shall b e submitt e d to and
regular and r e asonabl e hours and under condition s conduciv e to approv e d b\ the Departm e nt of Human R e sources, division of
restr facility — s e rvic e s, construction — s e ction prior to b e ginning
(c) Children shall r e c e iv e training in all asp e cts of p e rsonal construction. Four s e ts of con s truction plans and sp e cifications
hygiene. Th e y shall b e taught and help e d to keep themselves.
fd^ Each child shall have his own cl e arlv — id e ntifi e d
toothbru s h, comb, towel and wash cloth and his own se parat e
plac e for k ee ping these p e rsonal articl es . Tow e ls, fac e cloths.
and b e d lin e ns shall b e chang e d as fi' e qu e ntlv as n e c e ssary to b e
cicun.
.AuthorinG.S. 1 31 D. Art. I A: I43B-I53.
.0708 NUTRITION
f*) — Nutritious foods shall b e provid e d in th e vari e tv and
shall b e fonvard e d to th e D e partm e nt of Human Resourc e s.
division of facility services, construction s e ction for distribution
to and r e vi e w bv the Division of facility se rvices, tho Division
of Social S e rv ic e s, tho Division of h e alth s e rv ic e s, and th e
D e partm e nt of Insuranc e , e ngin ee ring division.
(b) If a qu e stion aris e s as to wh e th e r an e xisting building us e d
for child caring institution purposes moots the requir e m e nts of
th e North Carolina Stat e Building Cod e , an interpr e tation can b e
obtain e d bv submitting a floor p l an of th e building togeth e r w ith
d e tails of construction to th e D e panm e nt of Human R e sourc e s.
division — of facilitx — s e rv ic e s. — construction — s e ction — or bv
872
NORTH CAROLINA REGISTER
December I, I99H
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PROPOSED RULES
requ e sting an on a ite visit by a member of th e staff.
Authorin- G.S. 131 D. Art. lA: N3B-153.
.0803 GENERAL REQUIREMENTS
All buildings to be us e d for child caring institution purpos e s
shall m e et the requir e m e nts of the North Carolina Stat e Building
Code, which — i s adopt e d b> — ref e r e nc e pur s uant to G.S.
1 50B 1 'l(c). for the t>pc of occupanc\ for which the building is
to b e us e d:
{^
04-
{hh
Institutional Occupanc>. R es id e ntial car e faciliti e s for
10 or mor e childr e n who are dep e nd e nt, n e gl e ct e d,
abandon e d, d e stitut e , orphan e d, d e linqu e nt, and not
involuntariU detained shall m ee t r e quir e m e nts for
In s titutional Occupancy unr e strain e d in Vol. 1 S e ction
4 09 and Vol. 1 C (handicapp e d r e quir e m e nts) of th e
North Carolina Stat e Building Cod e .
Residential Occupancy
— All r e sid e ntial car e faciliti es k ee ping a s many a s 6
and l e ss than 10 childr e n who are depend e nt.
n e gl e ct e d. abandon e d. d es titut e . orphan e d.
d e linqu e nt or childr e n who ar e se parat e d t e mporarily
from th e ir par e nt s shall meet group A "special
occupancy r e quir e m e nt s " in S e ction 520 of Chapter
V of th e North Carolina Stat e Building Cod e .
— All r e sid e ntial car e faciliti e s keep i ng no more than
fiv e childr e n s hall m ee t th e North Caro l ina Uniform
R e sid e ntial Building Cod e . Mobil e homes are not
allow e d for child caring in s titution r e sid e nc es .
throughout th e building, k e pt in working order and readily
id e ntifi e d by th e staff and th e children.
(i) Automatic smok e d e t e ctors shall b e installed in e ach child
caring institution residenc e in accordanc e with th e North
Carolina Uniform R e sid e ntial Building Cod e Volume 1 B.
S e ction 35 in which up to fiv e childr e n r e side and in accordance
with th e North Carolina Stat e Building Cod e . Volume 1 . S e ction
720 in which six or mor e children reside.
(j) All e lectrical and h e ating installations shall b e approved by
th e local building insp e ction d e partm e nt and th e e l e ctrical wiring
in th e building shall conform with th e r e quir e ments s tat e d in
Volum e IV of th e North Carolina Stat e Building Cod e .
Authorin- G.S. 131D-10.5: 143B-153.
.0805 GENERAL SANITATION
(a) — Prop e r faciliti e s shall b e provided throughout th e
institution's buildings and pr e mis e s to e nabl e compliance with
accept e d sanitation standards. — Th e wat e r suppK. s e w e rag e
disposal, solid wast e disposal, food se rvic e , and other facilities
s hall m ee t applicabl e rul e s and r e gulations of th e Division of
h e alth s e rvic e s:
<+)-
(5f-
Aiithorit}- G.S. 131D-10.5: 143B-153.
.0804 FIRE SAFETY
(a) Childr e n and staff s hall b e instruct e d on fir e pr e v e ntion.
(b) Car e s hall b e e .x e rci se d b\ th e staff in allowing chi l dr e n to
u se match e s, or to handl e inflammabl e or combu s tibl e mat e rials.
(c) Fir e e vacuation plans s hall b e d e v e lop e d and post e d in
e ach building.
(d) Fir e drills shall b e h e ld p e riodicalK for both childr e n and
s taff, at l e ast quart e rK.
( e ) Th e s taff and childr e n residing in an institution shall be
train e d in prop e rh r e porting a fir e , in e xtinguishing a small fire.
and in e scaping from a fir e .
(f) For e v e rv 2.500 squar e f ee t of fioor ar e a and for each fioor
th e r e s hall b e at l e ast on e fir e extinguish e r. Fire e xtinguishers
s hal l be provid e d in accordanc e w'xxh the standards of the
National Fir e Prot e ction Association standard numb e r 10. Th e \
s hall b e insp e ct e d r e gularK and k e pt charged and fill e d at all (b) To assur e compliance with all local and stat e sanitation
Institutional Occupancy. — Each building providing
car e or food s e rvic e to 13 or more childr e n shall
m ee t th e r '. quir e m e nts of "Rul e s Gov e rning the
Sanitation of Hospitals. Nursing and Rest Hom e s.
Sanitariums, and Educational and Other Institutions"
pr e par e d by th e Departm e nt of Human Resourc e s,
division of health servic e s, sanitary e ngineering
section.
R e sid e ntial Occupancy. — Each building providing
car e or food se rvic e to no mor e than 12 childr e n
s hall m ee t th e r e quir e m e nts of "R es id e ntial Care
Faciliti e s" for not mor e than 12 r e sid e nts pr e par e d
by th e D e partm e nt of Human R e sourc e s, divi s ion of
h e alth — s e rvic es . — sanitar> — e ngin ee ring — s e ction.
Acc e ptabl e faciliti es includ e :
{A) — a — prop e rl\ — op e rating — dom es tic — dishwa s hing
machin e , or
fB-) — imm e rsion for at l e ast on e minut e in cl e an hot
water at a t e mp e ratur e of at l e a s t 170 d e gr ees
Fahr e nh e it or hott e r, or
fC-) — immersion for at l e ast two minut e s in cl e an wat e r
to which has b ee n added e nough ch e mical sanitiz e r
to pro\id e at least 50 parts p e r mi l lion of availabl e
chlorin e or 12.5 parts p e r million of availabl e
iodin e .
tim e s in accordanc e with National F i re Protection A ss ociation
standard numb e r 10.
(g) Fir e e xit s , that i s . door s , hallwass. and stairs, shall b e w e ll
light e d, kept clear and r e ady for in s tant us e . No locks shall b e
install e d on exit and on room doors which would prevent
occupants from g e tting out b\ th e simpl e op e ration of a single
knob or l e \ e r. — Emergenc\ lighting shall b e provided wh e re
r e quir e d for gr e at e r safety in e xiting th e building.
(h) A manual fir e alarm or signal s yst e m shall b e install e d in
e ach — child caring — institution — r e sid e nc e which — is — audible
r e gulations, construction plans for a n e w child caring institution
r e sid e nc e , r e novation of an e xisting building for child caring
institut i on purpo s es, and reconstruction of an existing child
caring in s titution shall be submitted to and approv e d b\ th e
county health departm e nt in which th e facility i s locat e d.
Authority G.S. 131D-W.5: 143B-153.
.0806 BATH AND TOILET FACILITIES
(a) Th e r e sha l l b e not l e ss than on e lavatorv with hot and cold
13:li
NORTH CAROLINA REGISTER
December 1, 1998
873
PROPOSED RULES
wat e r for e v e rv' six childr e n, on e toilet for e v e r\' six childr e n, and
on e tub or show e r for e v e rv e ight childr e n. — In addition th e r e
.0902 LICENSE
fa-) — Application for a n e w lic e ns e to op e rat e a child caring
s hall b e a minimum of on e tub and on e toil e t and on e lavatorv in institution is mad e to th e D e partm e nt of Human R e source ;
e ach building in which childr e n liv e .
(b) Th e r e shall b e s e parat e toil e t and bathing faciliti es for s taff
who liv e in th e child car e re s id e nc es .
Authorin-G.S. 131D-I().5: 143B-153.
.0807 SLEEPING FACILITIES
fa^ — Each chi l d car e r e sid e nc e d e v e loped aft e r th e e ff e ctiv e
division of social services, prior to th e fir s t child b e ing acc e pted ^
for full tim e car e .
{h) — Application for r e n e wal of a lic e n se to op e rate a child
caring in s titution is mad e to th e — D e partm e nt of Human
R es ourc e s, division of social s e rvice s , prior to th e e xpiration of
th e curr e nt lic e ns e .
{€) — Full Lic e ns e . — A flill lic e ns e to op e rate a child caring
institution will b e issu e d for on e v e ar wh e n a lic e ns e s tudv
date of th ese standard s s hall provid e in e ach bedroom a indicat e s the institution compli e s with the minimum standards
minimum of 8 squar e f ee t of floor spac e for e ach occupant for child caring institutions.
e xc e pt that a b e droom for on e occupant shall provid e a minimum (d) Provisional Lic e ns e . A provi s ional lic e ns e to op e rat e can
of 100 s quar e f ee t.
fb^ — In e xisting resid e nc e s e ach b e droom s hall provid e a
minimum of 60 square feet of floor spac e for e ach occupant with particular r e quir e m e nt(s). — A provisional lic e nse for an
e xcept that a b e droom for on e occupant sha l l provid e a minimum
of 8 s quar e f ee t of floor s pac e .
(c) No child s hall shar e a b e droom with a staff m e mb e r.
b e issu e d for a p e riod of tim e up to six months wh e n a lic e ns e
study indicat es th e institution n ee d s additional tim e to compK
additional p e riod of tim e to m e et the s am e r e quir e m e nt(s) wi
not b e i s su e d.
fe4 — T e rmination of Lic e nse. — A lic e ns e to op e rat e a child
(d) Each child shall hav e a b e d of his oun. not les s than 30 caring institution will not b e r e n e w e d wh e n th e institution do es
inches w i de nor short e r than hi s h e ight. B e ds s hall b e at l e ast not comp l y with th e minimum standard s for child caring
thr ee f ee t apart at th e h e ad, foot and s id e s, and doubl e d e ck e r institutions aft e r suffici e nt tim e is allow e d in th e judgm e nt of th e
b e ds, shall b e at l e ast fiv e f ee t apart. Each b e d s hall b e prov id e d staff of th e D e partm e nt of Human Resourc e s for th e institution
with springs, a mattress in good repair and adequat e bed to correct areas of operation which ar e below standard.
'cov e ring. No das b e d. conv e rtibl e sofa or oth e r b e dding of a
Tiporary natur e shall b e us e d.
( e ) B e drooms shall b e e quipped with clos e t and drawer space
for storag e of clothing and oth e r p e rsonal b e longings.
AiilhonivGS. I3ID-IU.5: I43B-153.
ft-) — R e vocation of Lic e ns e . — A lic e ns e to op e rate ma> ' b e
r e vok e d if th e child car e institution is in violat i on of th e
minimum lic e nsur e standards and is making no e fforts to corr e ct
th e d e fici e ncy.
Authorin-G.S. I3ID-I0.5: 143B-153.
.0808 HEAT, LIGHT, AND VENTILATION
fa-) — H e ating faciliti e s shal l b e provid e d that will ke e p th e
t e mp e ratur e i n living quart e rs of th e institution within a
comfortabl e rang e , not l ow e r than 62 d e gr ee s Fahrenh e it during
th e da\ and .^5 d e grees Fahr e nh e it during th e night. — Sp e cial
att e ntion shall be given to h e ating bathrooms abov e th e s e
minimum t e mp e ratur e s.
fb^ — Natural light s hall b e availabl e in e v e ry room u sed b y
childr e n and staff Window ar e as shall not b e l es s than 110 of th e ir own hom e and not held in d e t e ntion. Th e purpo se of a
th e tloor ar e a of each room.
(c) Ad e quat e v e ntilation shall be availabl e in ev e ry room in
th e in s titution which i s us e d b\ childr e n and staff
Authorin-G.S. I31D-W.5: I43B-I53.
.0809 INSPECTIONS
The institution shall r e qu e st and s e cur e insp e ction s at l e ast
annuallv from the l ocal sanitarian and from th e loca l bui l ding facilit\. d e v e loping and sup e rvising i t s program of care and
insp e ctor or fire insp e ctor. R e ports of such inspections shall b e s e rvic e s-
submitt e d to the D e partm e nt of Human R e sourc es .
SECTION .1000 - PUBLIC INSTITUTION
ORGANIZATION AND ADMINISTRATION
.1001 DEFINITIONS
fa^ — A "child caring institution" i s a r e sid e ntial car e facility
utilizing p e rman e nt bui l ding locat e d on on e s i t e for 10 or mor e
childr e n who ar e d e p e nd e nt, n e gl e cted, abandoned, d e stitut e .
o rp hane d, d e linqu e nt, or oth e rwis e in n ee d of car e away from
chi l d caring institution i s to provid e fost e r car e and r e lat e d
servic e s for childr e n who ar e unabl e to liv e in th e ir own hom e s.
Exc e ption can b e mad e wh e n no mor e than two group hom e s
locat e d on on e sit e and licens e d as m ee ting group homes for
childr e n standards ar e op e rat e d b\ a county d e partm e nt of social
se rvic e s or b_\ a privat e program l i censed to provide child car e
or child placem e nt s e rvic e s.
{bj — Th e "d i r e ctor" i s the p e rson who is in charge of th e
Authority G.S. BID. Art. I A: 143B-153.
SECTION .0900 - PRIVATE INSTITUTION
LICENSING INFORMATION
(c) "Childr e n." in addition to childr e n up to ag e 1 8 . includ e s
p e rsons residing in and und e r th e car e of th e i nstitution who ar e
1 8 to 21 y e ars of ag e . — Childr e n of staff memb e rs ar e not
includ e d.
(d) Pub li c In s titution. A public institution is an institution, as
w e l l as th e prop e rty in it. which is h e ld, us e d or controll e d by
jf gov e rnm e nt, stat e , county or municipal. — Th e s e
874
NORTH CAROLINA REGISTER
December I, 1998
13:11
..— -..« «rj^
PROPOSED RULES
standards do not apply to state institutions for th e m e ntally
handicapped or to stat e institutions for th e d e t e ntion of juv e nil e s.
(e) Privat e Institution. A privat e in s titution is an institution
which is charter e d by th e Secretary of th e Stat e of North
Carolina as a privat e corporation.
Aulhorin'G.S. 131 D. Art. lA; 143B-153.
.1002 PURPOSE
Any unit of government which op e rat es a child caring
to th e b e ginning of e ach fiscal year showing sources and
amounts of incom e and providing for:
m salari e s for r e quir e d numb e r of staff.
f3^ meeting th e dir e ct costs of car e for the number and
typ e of children acc e pt e d.
{^ maint e nanc e of th e physical plant.
f4^ m ee ting th e cost of any proposed expansion or
r e plac e m e nt.
(e^ — Financial account s of th e institution, which ar e audit e d
annually, shall b e maintained in accordanc e with d e signated
institution s hall do so pursuant to its statutory powers, duti e s. accounting proc e dur e s for th e governm e ntal unit op e rating the
and authority. — Th e purpos e of th e public institution shall b e
cl e arly defin e d and shall include th e geographical ar e a to b e
served, the childr e n who will b e accept e d for car e and th e
servic e s to b e provid e d for those children and th e ir famili e s.
Aiithorin-G.S. 131D.Arl. I A: 143B-153.
.1004 LOCATION
The institution shall b e locat e d availabl e to schools, church es -
institution. A copy of th e annual budget and a copy of th e audit
shall b e s ubmitt e d e ach y e ar to the D e partment of Human
R e sourc e s.
Authority G.S. 131D-10.5; 143B-153.
.1007 STAFF: GENERAL
Th e institution s hall provid e th e s taff and se rvic e s n e c e ssary to
ensure th e proper care and saf e ty of childr e n in car e of th e
hospital s , clinics, m e ntal h e a l th s e rvic es and r e cr e ational institution. Staff m e mb e r s who liv e with childr e n in car e of th e
faciliti es . The location shall provid e saf e and amp le playground s
for children in an area conduciv e to th e ir h e alth and w e ll b e ing.
Authority G.S. 13 ID. .Art. lA: 1438-153.
institution or pr e par e th e ir food shall hav e a h e alth e xamination
within at l e ast six months b e for e b e ginning work and bi e nnially
th e r e aft e r. — Such e xaminations shall includ e t e sts n e c e ssar\ to
d e t e rmin e that th e s taff m e mb e r i s fr ee from cor.municabl e
dis e as es and abl e to carr> out a s sign e d duti e s.
.1005 GOVERNING BODY
The unit of gov e rnm e nt which op e rat e s a child caring .Autlmrity G.S. I31D-10.5: 143B-153.
institution shall do one of th e following:
f44 Op e rat e th e institution as a lin e d e partm e nt: or
Of
Assign responsibility for gov e rning th e institution to
an e xisting board: or
Cr e at e a board of dir e ctors to gov e rn th e institution:
Composition of a board cr e at e d to gov e rn the
institution:
(a^ Th e board shall b e mad e up of individuals of various
occupations and e xp e ri e nc e from th e g e ographical
.1008 THE DIRECTOR
(a) Th e r e shall b e a full tim e dir e ctor to sup e r\'is e th e program
of car e and se rvic e s of an institution lic e ns e d for 20 or mor e
childr e n, and a director at least part time for an institution
lic e nsed for l e ss than 20 children.
(b) Th e Director shall have e ducation, training, and e xperi e nc e
that qualifies him for planning, administ e ring, and sup e rvising
a residential child car e program.
ar e a s s e rv e d h\ th e institution who r e pr ese nt th e fe-) — A dir e ctor appoint e d aft e r th e e ff e ctive date of the s e
(^
int e r e st s of both th e constitu e ncy s ponsoring th e
in s titution and that which it se rv e s or plans to s e rv e :
Th e board s hall hav e a minimum of fiv e m e mb e r s .
standards shall hav e a d e gr ee from an accr e dit e d four y e ar
coll e g e or univ e r s ity and shall hav e at l e ast two y e ar s of work
jf wh i ch
#te
(^
e xp e ri e nc e , on e ol wh i cn wa s m a sup e rvisor) capacity, m
M ee tings of th e Board of Dir e ctors. — Eith e r th e full fi e ld of child w e lfar e s e rvic e s, h e alth se rvic es , e ducation,
board or its e x e cutiv e committ ee (or e quiva le nt) sha l l psychology, s ocial s e rv i c e s, r e ligiou s e ducation, or oth e r alli e d
m ee t at l e ast quart e rl\. — P e nnan e nt r e cords s hall b e prof es sion.
ma i ntain e d of all m ee tings of th e gov e rning board and {4) — Th e Dir e ctor sha l l b e in charge of th e op e ration of th e
th e e x e cutiv e committ ee : institution, providing at l e ast quart e rly r e ports for th e gov e rning
f6) Th e gov e rning authority for th e in s titution shall adopt author i ty on all phases of its operation. Th e Dir e ctor shal l hav e
th e fol l owing r e sponsibiliti e s:
f-H Int e rpr e ting established standards of child car e and
initiating and carrying out a sound program in
accordanc e with th e s e standards;
r e gulations for th e op e ration of th e in s titution and
shall e nsur e that th e institut i on compli e s with th ese
r e gulations.
Authority G.S 131D-W.5: 143B-153.
.1006 FINANCES
(a) Th e institution shall hav e fund s e stablish e d to m ee t th e
co s t s of carrying out its d e tm e d purpos e s and providing prop e r
car e and se rvic e s for th e type and numb e r of childr e n acc e pt e d.
(b) A budg e t s hal l b e approv e d b> th e gov e rning board prior
(3-) Pr e paring the institution's budg e t in collaboration
wi#) — thos e — p e rsons — with — d e signat e d — fiscal
r e sponsibiliti e s: — Th e budg e t s hall be pres e nt e d to
th e board for approval:
{^ En s uring that all purchas e s ar e mad e in accordanc e
with procur e m e nt polici e s of the gov e rnm e ntal unit:
Th e Dir e ctor sha l l s e cur e approval for it e ms not
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NORTH CAROLINA REGISTER
December 1, 1998
875
PROPOSED RULES
(4f-
QUthoriz e d in th e budg e t;
Employing and di s charging al
m e mb e r s of th e
th e living unit. If a living unit has ail ag e childr e n young e r than
six y e ars of ag e th e r e s hall b e on e child car e worker for five
in s titution's staff within th e personnel polici e s of th e childr e n. Staff included in th e ratio ar e child car e workers and^
gov e rnm e nta l unit;
{^ Holding staff m ee tings at regular int e rval s and
discu ss ing plan s and polic i es with th e staff;
{%) Providing and promoting a program of education for
th e continu e d training and d e velopment o f th e s taff;
The — Dir e ctor — sha+l — be — r e sponsibl e — fef — the
e ff e ctiv e n e ss and e ffici e ncv of th e s taff;
9^
worki :
Estab l ishing and maintaining coop e rativ e working
r e lation s hips with oth e r s ocial ag e nci e s in th e
community — and — int e rpr e ting — tbe — in s titution' s
program;
^ The — Dir e ctor — shaW — have — r es ponsibility ' — fer
administration. — s ocia l — s e rvic e s. — the — child — eare
sup e rvisors of child car e . R e li e f staff ar e not includ e d in thc ^
ratio.
(c) Each m e mb e r of th e child car e staff s hall b e s e l e cted on
th e basis of his knowl e dg e , e xperienc e , and comp e t e nc e r e quired
in caring for children.
(d) Child car e staff shall b e no young e r than 18 years of ag e .
( e ) Each child car e work e r shall b e provid e d ins e rvic e training
and qualifi e d, comp e t e nt sup e rvi s ion in th e ar e as of hom e
manag e m e nt, child r e aring, family lif e education, sound h e alth
practic es and h e alth maint e nanc e , and food pr e paration and
nutrition when meals ar e pr e par e d in th e living units by th e child
care workers.
program and th e physical plant of th e institution with Authority G.S. I31D-I0.5: 143B-I53.
d ele gatio n o f actual work in th e se ar e as as is
appropriat e ;
W Th e Dir e ctor shall d e l e gat e authority to a qualifi e d
s taff m e mb e r during his ab se nc e from th e institution;
{W} Th e Dir e ctor sha l l b e r es pon s ibl e for making all
e mploy ee s awar e of th e Chi l d Abuse and Neglect
R e porting — baw — an^ — e stablishing — a — r e porting
proc e dur e .
AiilhorltvG.S. I3ID-IU.5: N3B-153.
.1009 SUPERVISORY STAFF/PROFESSIONAL
SERVICES
(a) Th e D e partm e ntal h e ads, unit dir e ctors, sup e rvisor s , and
oth e r manag e m e nt s taff s hall be qualified b\ educat i on, training,
and e xp e ri e nc e for th e particular job r e sponsibiliti e s to which
th e y ar e as s ign e d.
{b) — Th e institution sha l l hav e available those professional
s e rvices which assur e appropriat e car e for childr e n. — Such
prof ess ional s e rvic e s shall includ e thos e of doctor s and d e ntists,
nurs e s, social work e r s , psychologists, psychiatrists, dietitians,
h e a l th e ducators and t e ach e rs.
Aiithorit}'G.S. 13 ID- 10.5: 143B-153.
.1010 CLERICAL STAFF
The — in s titution — shaH — have — cl e rical — se rvic e s — te — keep
corr es pond e nc e , r e cords, bookke e ping and fil e s current and i n
good ord e r.
Authority G.S. 1 31 D. Art. I A: 143B-153.
.1011 CHILD CARE STAFF
(a) Th e r e shall be at least on e child car e work e r as s ign e d for
dir e ct car e and sup e rvi s ion to e ach living unit or group of
childr e n at all tim es . — It is r e comm e nd e d that bot h m ales a n d
f e mal e s b e e mp l oy e d as chi l d car e staff
.1012 MAINTENANCE STAFF
Th e r e shall b e a suffici e nt numb e r of maint e nanc e staff
availabl e to assur e that th e op e ration and maint e nanc e of th e
institution shall not b e d e p e nd e nt upon th e work of the children
in care.
Authority G.S. 13 JD. Art. lA: 143B-153.
.1013 PERSONNEL POLICIES
(a) Th e institution shall hav e writt e n p e rsonn e l polici e s and
shall adh e r e to the polici e s:
fl^ Job D e scriptions. Th e r e shal l b e a curr e nt writt e n
job d e scription for e ach position which inc l ud e s
qualifications for th e position, th e duti e s of th e
position, and sp e cifi es to whom th e e mploy ee is
r e spon s ibl e .
(3-) L e ave. — Th e in s titution shall hav e a writt e n policy
which — provid e s — r e sid e nt — staff — with — dir e ct
r e spon s ibility for childr e n a minimum of six 21 hour
days off duty e ach month. — Th e \ s hall hav e som e
fr ee tim e off duty e ach day.
f5-) Dismissal. Th e r e shall be a policy conc e rning th e
discharg e of e mploy ee s which includ es a gri e vanc e
procedur e .
(b) Living quart e r s s hall be provid e d for all staff whos e job
r e sponsibilit ie s r e quir e th e m to liv e within the institution.
Authority- G.S. 13ID-10.5: 143B-153.
SECTION .1100 - PUBLIC INSTITUTION SOCIAL
SERVICES
.1101 STAFF
Th e in s titution shall have one or mor e qualifi e d p e r s on s-te
provide admi ss ion, r e sid e ntial, and discharg e se r\'ic es to childr e n
and th e ir families. To b e qualifi e d, staff e mp l o> e d to provid e
fb-) — Th e ratio of ch i ld car e s taff who ar e e mplo> e d b\ th e social s e rvic es aft e r the eff e ctiv e dat e of th e s e standards shall
institution to provid e car e and sup e rvision for ch i ldr e n sha l l b e
on e for e v e rv t e n childr e n six y e ars of ag e and old e r and on e for
e v e r\ ei t iht chi ldr e n xounij e r than six v e ars of aee includ e d in
hav e a d e gr ee in a human s e rv i c e fi e ld from an accr e dit e d four
y e ar col le g e or univ e rsity. Th e y shall b e familiar with
commun i rv r e sourc e s for childr e n and th e ir famili e s in addition
876
NORTH CAROLINA REGISTER
December I, 199H
13:11
PROPOSED RULES
to th e institution's s e r\'ic e s.
Authohn-G.S. 131D-10.5: 143B-153.
following admission. If mor e than five p e rc e nt of an institution's
population ar e admitt e d on an e m e rg e ncy basis, in any 12 month
p e riod, th e institution shall provide an id e ntifiabl e program for
th e provi s ion of e m e rg e ncy car e in a living unit separate from
oth e r childr e n in r e sid e nc e .
.1102 ADMISSION SERVICES
(a) Admission policies shall b e cl e arly d e fin e d in writing and
availabl e to persons or ag e nci e s making inquiri e s. Admission Authority G.S. 13 ID- 1 0.5: 143B-153.
polici es shall b e car e fully r e vi e w e d from tim e to tim e and
chang e d as n ee ds and condition s in the community chang e .
(b) Admission services shall b e in accordanc e with th e stat e d
.1103 RESIDENTIAL SERVICES
(a) — Each child in car e s hall hav e a qualified staff p e rson
polici e s of th e in s titution. Admissions shall b e limit e d to thos e r es ponsibl e for a ss isting him in making th e b e st use of his stay
childr e n who need care apart from th e ir famili e s and for whom in the institution. — This shall includ e opportunities to talk
the institution is qualifi e d by s taff, program, facilities, and privat e ly about his exp e riences living in th e institution and to
servic e s to giv e appropriat e car e . e xpr e ss grievanc e . Prof e ssional se rvic e s s hall b e mad e avai l able
(c) Staff r e sponsibility for decisions on admission shall b e for childr e n who n ee d h e lp in r e solving p e rsonal or family
cl e arly e stablish e d. probl e ms.
(d) D e cision s on admi s sions shall be bas e d upon a study of th e (b) Arrang e m e nts shall b e mad e for staff to talk with par e nts,
total situation of th e child and his particular n ee ds. Th e study r e lativ e s. — er — r e pr e s e ntativ e s — of — agencies — having — legal
shall b e mad e prior to admission and shall includ e all r e sponsibility about an individual child's car e and adju s tm e nt in
information which will enabl e a car e ful analysis of th e th e institut i on.
application to d e t e rmin e if th e institution's program of car e is {e) — Visiting polici e s for th e institution shall be flexibl e to
allow par e nts, r e lativ e s, and friends to visit with childr e n at l e ast
twic e a month.
appropriate for the child,
( e ) Wh e n par e nts or other r e lativ e s with legal r e sponsibilit)
for a child apply for the child's admission, th e institution shall {4) — No child shall b e allow e d to visit with anyon e for
w ee kends. holida>s. and vacations without th e cons e nt of th e
p e rson or ag e nc\ having l e gal responsibility for him.
( e ) If the institution us e s private famili e s in th e community' as
asc e rtain what community r e sourc e s are availabl e to k ee p th e
child in hi s own hom e , s uch as financial assistanc e , hom e mak e r
s e rvic e s. da\ care services, and oth e r support i ve servic e s.
County departments of social s e rvices, wher e r e qu e st e d, can visiting hom e s for childr e n, th e interests, needs, and w e lfar e of
a ss i s t famili e s in e valuating community r e sourc es availabl e to e ach child shall be con s id e r e d in arranging th ese vi s its. Th e
th e m. i nstitutions shall a s s e ss e ach privat e family to b e us e d as a
ff) — A public in s titution s hal l not acc e pt l e gal custody of vi s iting hom e to d e t e rmin e if th e fami l y can provid e prop e r car e
and sup e rvi s ion for childr e n,
(f) A r e vi e w shall b e mad e at l e ast onc e a y e ar of e ach child
authority to plac e th e childr e n. — Writt e n agr ee m e nt s shal l b e in car e to r e as se ss his n ee ds. Th e r e vi e w is to id e ntity what t> p e
mad e s e tting forth th e r es ponsibiliti es of th e in s titution and of of car e and s e rvices ar e n ee d e d by th e child, if he n ee ds
childr e n. Childr e n s hall b e acc e pt e d by writt e n application
s ign e d by th e p e r s on or r e pr ese ntativ e of th e ag e ncy having l e gal
continu e d car e in th e institution, or if his family circumbUinc e s
hav e chang e d and h e can b e return e d to his hom e .
th e p e r s on or ag e ncy having l e ga l authority for caring and
planning for th e child. Provision s hall b e mad e for continuing
r e lation s hips b e tw ee n th e in s titution, th e legalK r e sponsibl e (g) When a child whos e par e nts placed him in the institution
p e rson or ag e ncy, and th e ch i ld during th e p e riod of plac e ment. no long e r has his par e nt s availabl e to him du e to th e ir d e ath, or
(g) Th e provisions of th e North Carolina int e rstat e plac e ment incapacit>. or abandonm e nt of th e child, th e institution s hall
laws (G.S. 1 10 50 through 1 10 57 and 110 57.1 e t. s e q.) shall b e r e f e r th e matt e r to th e county d e partm e nt of social se rvic es or
m e t wh e n out of stat e childr e n ar e b e ing consider e d for court havingjuri s diction or to an attorn e y with th e r e qu e st for a
admission or di s charg e . — North Carolina interstat e plac e m e nt l e gal guardian or custodian to b e appoint e d for th e child,
laws r e quir e th e approval of th e North Carolina D e partm e nt of (+H — Wh e n adoption is in th e b e st int e r es t of a child whos e
Human R es ourc e s prior to plac e m e nt of a child by an out of stat e par e nts ar e d e c e as e d or who se par e nt s or oth e r r e lativ e s cannot
ag e ncy. Corr e spond e nc e relativ e to admis s ion, progr e ss, and provid e a hom e for him. r e f e rral for adoption s e rvic e s shall b e
discharg e of childr e n in custodv of out of stat e ag e nci e s shall b e
rout e d through th e North Carolina D e partm e nt of Human
R es ourc e s, division of social s e rvic e s, as outlin e d in its
op e rational manual.
tW — No child shall b e acc e pt e d in an institution without a
m e dical e xamination and a stat e m e nt s ign e d by a lic e nsed
m e dical provid e r s p e cil\'ing th e child's curr e nt m e dical condition
di s cus se d with th e p e r s on or ag e ncy r e pr ese ntativ e having l e gal
r e sponsibility for th e chi l d.
Authorities. I31D-10.I: I31D-I0.5: 143B-153.
.1104 DISCHARGE SERVICES
(a) Staff r es ponsibility for d e cisions on di s charging childr e n
and m e dications pr e scrib e d and indicating the pr ese nc e of an\ shall b e c le arK e stablish e d. Childr e n und e r 1 8 y e ar s of ag e shall
communicable dis e as e or m e dical condit i on which ma\ pos e a b e di s charg e d to th e p e r s on or ag e ncy having legal custody of
significant risk of transm i s s ion in th e faci l ity. th e childr e n. Insofar as possibl e , th e r e l e as e of e ach ch i ld shall
fn) — In th e e vent of em e rg e ncy admission s , th e r e quir e d b e plann e d with him and with th e p e rson or repres e ntativ e of th e
admission proc e dur e s shall b e compl e t e d within two w ee k s ag e ncx having l e ga l r e sponsibilitx for him allowing tim e for
13:11
NORTH CAROLINA REGISTER
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877
PROPOSED RULES
arrang e m e nt s to b e mad e for th e child' s car e . In all ca se s, th e
d e ci s ion to di s charg e a child and th e chi l d's d e ci s ion to l e av e th e
institution sha l l be mad e known to th e p e rson or agency having
legal responsibility tor the child and opportunity' provided for
discussio n o f th is act i on.
(b) Childr e n sha l l n ot b e r elease d and admitt e d to th e car e of
anoth e r institution or tr e atm e nt facility without the knowledge
and cons e nt of th e p e rson or ag e ncy having l e gal authority for
placing th e chi l d.
Authorin-G.S. I3ID-I0.5: 143B-153.
Authority- G.S. 13ID-10.5: 143B-153.
.1106 REPORTS i
Th e institution shall submit an annual report to th e D e partment *
of Human R e sources on Form DSS 18'13. annual r e port to the
D e partm e nt of Human R e sourc e s, division of social s e rvices.
Authorities. 131D. Art. I A: 143B-153.
SECTION .1200 - PUBLIC INSTITUTION CHILD
CARE AND DEVELOPMENT
.1105 RECORDS
(a) Th e inst i tution shall maintain cas e r e cords for th e purpos e
{¥) protecting th e l e gal rights of the child, his parents
and legal custodian, and th e in s titution:
{¥) docum e nting th e kinds of s e rvic es r e nd e r e d to a
ch i ld and hi s family; and
{V) providing a s ourc e of information about individual
childr e n, as w e l l as informat i on for th e institution in
planning its program of car e and se rvic e s.
(b) Ca se r e cords s hall includ e th e following information for
e ach child:
fl-^ completed application form s ign e d b\ th e p e rson or
ag e ncy having l e gal authorit\ to plac e th e child:
(3-) a pr e admis s ion s tudy of th e ch i ld and his famiK
situation, including an explanation of custod> and
l e gal r es ponsibilir\ for th e child as indicat e d b\
par e ntal — stat e m e nts. — court — efdt
9¥
(4>-
(4f-
aers; — er — ag e ncy
agre e m e nt s :
a v e rification of birthdat e :
m e d i cal — cons e nt — sign e d — bv — the-
p e rson — er
r e pr e s e ntativ e of the ag e ncy having l e gal custody of
th e child:
{^ agr ee m e nts indicating th e r e spon s ibiliti es of th e
p e r s on or ag e nc> hav i ng l e gal r e sponsibility for th e
child and th e institut i on in planning and caring for
th e child: an e xplanation of wh\ th e child needs the
institution's care and what is going to b e provid e d
for th e child:
d cons e nt s for visits outsid e the
.1201 SOCIAL ASPECTS OF CARE
(a) Th e Child as an Individual
ff-) Eaeh — child shall b e consider e d an — individual
p e rsonality. H« — shaH — be — giv e n — appropriat e
opportuniti e s for growlh a s a uniqu e individual, for
l e arning on his own a s w e ll as in a group, for doing
thing s by hims e lf for hims e lf as w e ll as with and
for others.
(5) Efforts shall b e mad e to giv e e ach child suffici e nt
indiv i dua l att e ntion and aff e ction to comp e nsate in
s om e d e gr ee for th e r e gim e ntation of group living.
{i) Each child sha l l hav e th e opportun i ty to form
constructiv e r e lationships with s taff of both s e x e s.
(-4-) Each child shall b e allow e d to e xp e ri e nc e own e rship
and hav e his own plac e to k ee p his poss e ssions.
f>^ Each child s hall have personal clothing and hav e his
own plac e to k ee p his clothing. H e s hall b e allow e d
to tak e part in s e l e cting hi s clothing according to his
ag e and ability to do so. — Wh e n he l e aves th e
institution, h e s hall b e allow e d to tak e his clothing
v v ith him.
{^ Each child shall b e given th e opportunit> of l e arning
th e valu e and us e of mon e y through e arning,
sp e nding, giving, and saving. Each child shall hav e
an allowance appropriat e to hi s ag e to sp e nd as h e
wish e s.
(b) Th e Child and His Familv
fH-
^Fhe — in s titution — steW — provid e — and — e ncourag e
opportuniti e s for e ach child to maintain contact and
vi s it w ith par e nts, siblings, and r e lativ e s both at th e
institution and awav from th e in s titution insofar as
circumstanc e s p e rmit, and th e se contact s and visits
ar e approved b\ th e p e rson or ag e ncx having l e gal
r e sponsibility for th e child wh e n other than th e
natural par e nts.
(5-) No humiliating remarks about a child's par e nts.
r e lativ e s, or guardian shall b e mad e to th e child or to
oth e r childr e n in th e in s titution,
(c) The Child and th e Institution. Each child shall be assign e d
to th e car e of a chi l d care work e r who shall bo responsibl e for
^ a — di s charg e — s ummarv — indicating — date — and assuring hi s da il y car e . Each child shall b e gi\ e n th e opportunit>
agr e em e nt s an
institution:
f7^ r e port s of th e pre admission m e dical e xaminations.
inc l uding immunizations, and r e ports on all m e dical-
d e ntal or p s ychological s e rvic e s provid e d whil e the
child is in car e :
{^ a writt e n summarx pr e par e d at l e a s t se miannuall> of
th e r e vi e w of th e ch i ld's n ee ds, his progres s or lack
ef"
-in — eare; — changes — m — \m — famiK
progr es
circumstanc e s, and th e obj e ctives for the child's
circumstanc e s of discharg e and plan for car e in th e
communit\.
(c) Th e inst i tut i on shall maintain a r e cord of e ach r e quest for
admi s sion r e c e i\ e d during a curr e nt year, the action tak e n on th e
r e qu es t, and th e disposition made.
to discuss any p e rsonal concerns in confid e nce with his child
car e work e r,
(d) Th e Child and th e Communitv
fH Th e institution shall make what e v e r e ffort s ar e
possible toward h e lping th e childr e n hav e normal
878
NORTH CAROLINA REGISTER
December 1, 1998
13:11
PROPOSED RULES
contacts in the communis in which the institution is
locat e d s uch as participation in school functions.
r e cr e ational faciliti e s. charact e r building
organizations, church youth groups, and part time
paid or volunt ee r jobs.
(3^ Childr e n s hall bo encourag e d to form fri e ndships
with children outsid e th e institution, to vi s it th e ir
fri e nds in th e community and have th e ir fri e nds visit
them in th e institution. Children shall hav e acc e ss to
tel e phon es to provide th e m with opportunity to
maintain contact with fri e nds and family m e mb e rs.
(e) Disciplin e
(-H The institution shall hav e clearly defin e d, writt e n.
reasonabl e disciplinary policies which are fair to
childr e n and staff. Th e s e policies shall b e dir e ct e d
at h e lping e ach child dev e lop his own s e lf control
and as s um e r e sponsibility for his own acts. Th e s e
polici e s shall includ e measur e s to prot e ct childr e n
from abus e .
(3^ Administration of disciplin e shall b e an adult
r e sponsibilits. No child or group of chi l dr e n shall
bo allowed to punish anoth e r child.
{¥i Requests mad e of childr e n and standard s se t for
th e ir b e havior shall b e r e asonabl e and within th e ir
ability to achiev e.
(4) Children shall not b e subj e ct e d to cru e l, s e v e r e or
excessive punishm e nt including, but not limit e d to.
physical abus e , v e r b al abus e , lock e d confin e m e nt-
deprivation of food, of mail, and of famiU visits and
contacts.
(f) Work Assignments
f-H Work a s signments for children in th e institution
s hall b e plann e d for a child to hav e m e aningful work
e xp e ri e nc es and to d e v e lop good work habits and a
se n se of responsibilits.
(2^ Work as s ignm e nt s shall bo mad e according to th e
ag e s and abilities of childr e n. — Childr e n shall b e
provid e d — adult — sup e rvi s ion — en — theif — work
as s ignm e nts.
(5^ Work as s ignm e nts shall not int e rf e r e with school.
r e cr e ation, study p e riod s , ad e quat e s l ee p, community
contacts and vi s its with famiK.
{A) It is r e comm e nd e d that th e North Carolina Child
Labor Law conc e rning ag e . hours of labor, and
prohibit e d hazardou s occupations b e compli e d with
in work as s ignm e nts for childr e n.
{&) Childr e n s ha l l not b e s ub s titut e s for e mploy e d staff
They — shaH — net — be — r e quir e d — te — earn — etrt
r e sponsibiliti e s of staff.
{%) An in s titution shall not r e quir e a child to work for
the purpos e of paying th e institution for his car e .
(g) Exploitation
fl^ No child s hall b e us e d in any way to solicit funds.
N e ither shall h o b e id e ntifi e d in conn e ction with
publicitH for the in s titution in any way which will
bring him or his family e mbarrassm e nt. — Writt e n
p e rmission shall be obtain e d from th e p e rson or
ag e ncx having l e gal respon s ibilitv for e ach child
b e for e pictur e s or any oth e r m e ans of id e ntil\ing
childr e n ar e us e d in publicity or public relations
e fforts of the institution.
(3) No child shall b e forc e d to acknowl e dg e in public
his d e p e nd e ncy on th e institution or his gratitud e to
Authority- G.S. I31D-10.5: 143B-153.
.1202 RECREATION
fa-) — Th e institution shall provid e individual and group
r e creational opportuniti e s appropriate to the ag e . int e r e sts, and
n ee ds of e ach child. — Suitabl e spac e and competent adult
dir e ction shall b e provid e d for both indoor and outdoor
r e cr e ational activiti es .
(b) Th e r e cr e ational program shall provid e opportunities for
bo\s and girls to pla\ tog e th e r as w e ll as se parat e ly. For older
childr e n, a dating policy shall b e e stablish e d which will allow
th e m opportuniti es for d e v e loping social r e lationships with
oth e r s of th e ir own ag e group in th e in s titution and in th e
communit\.
Authorises. 131D-10.5: 143B-153.
.1203 EDUCATION
(a) Th e institution s hall see that e ach chi l d of s chool ag e is
proxid e d an e ducation in a public school or nonpublic school
which is op e rat e d in accordanc e with th e public s chool laws or
with th e nonpublic s chool laws of North Carolina.
(b) If a school is maintain e d and op e rat e d b\ th e in s titution,
or an e ducation program i s op e rat e d by th e institution which
childr e n att e nd in li e u of att e nding schools off campus, th e
institution shall compK with N. C. G e n e ral Statut e s gov e rning
nonpublic schools.
(-e^ — Facilities shall be provided b> th e institution for hom e
study and for reference books. — Provisions s hall b e made for
r e m e dial as s istanc e as indicat e d bv the needs of the children.
Authority- G.S. !3 ID- 1 0.5: 1 43 B- 1 5 3.
.1204 RELIGIOUS TRAINING
(a) Each child shall hav e opportuniti e s for r e ligious e ducation
and to att e nd r e ligiou s s e rvic es .
fb-) — Each institution shall hav e cl e arly d e fin e d polici e s
r e garding r e ligious training and practic es for the information of
those consid e ring plac e m e nt of childr e n in th e institution.
Authority- G.S I31D-10.5: 143B-153.
.1205 MEDICAL PROGRAM
M e dical Program. — Th e institution shall hav e a plann e d
program of m e dical car e which shall b e impl e m e nt e d and includ e
e ach child in car e :
f4-) Admission Requir e m e nt. Each child shall ha\ e had a
m e dical — e xamination — prior — te — admis s ion. The
e xaminat i on shall b e r e port e d in writing and s p e cifs
any condition or d e f e ct th e child might hav e and any
m e dications pr e scrib e d.
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879
PROPOSED RULES
(3f-
M e dical Car e
fa^ Arrang e m e nts s hall b e mad e with on e or mor e
lic e ns e d m e dical phy s icians or m e dical clinic s for
th e m e dical care of th e childr e n.
fb^ Each child s hall hav e a phy s ical e xamination at l e ast
onc e a v e ar and mor e oft e n a s n ee d e d. A child shal l
(ef-
fH-
<^
(*>-
(^
(^
not b e allow e d to participate in activiti e s injuriou s to
his h e alth. Any illn es s, dis e as e or d e f e ct of a chi l d
shal l b e id e nt i fied and tr e at e d promptly through
prop e r medica l car e . Ch i l d r en shal l hav e psychiatric
or p s ychological e .xamination or both wh e n indicat e d
and tr e atm e nt wh e n indicat e d.
Th e child car e staff shall b e in s tructed as to what
{V) Routin e Car e and Tr e atm e nt
fa) Arrang e m e nts s hall b e mad e with one or mor e
lic e n se d d e ntist s for th e d e ntal car e of the childr e n^
fb) Each child s hall hav e a d e ntal e xamination at I c asB
onc e a y e ar and tr e atm e nt as indicat e d.
(-2) D e ntal R e cords. Inc l ud e d in a child's medical r e cord
s hall — be — a — d e ntal — r e cord — indicating — dat e s — ef
e xamination and tr e atm e nt.
Authorin- G.S. 13 ID. Art. lA: N3B-153.
.1207 ROUTINE HEALTH CARE AND PERSONAL
HYGIENE
m e dical car e may b e giv e n by th e m without sp e cific (a) Childr e n shall b e taught and h e lp e d to d e v e lop good health
car e . Each child s hall hav e e nough s l ee p for his ag e at r e gular
ord e rs from a lic e n se d m e dical physician. — Th e y
shall b e instruct e d as to how and wh e n to obtain
furth e r car e and how to handle e merg e ncies.
{^ Hospital Car e . — Arrang e m e nt s sha l l b e mad e with a
hospital for th e admission of childr e n from th e
in s titution in th e e v e nt of se riou s illn e ss or e m e rg e ncN.
Fir s t Aid. At l e ast on e m e mber of the child car e staff
and r e asonable hours and und e r conditions conduciv e to r e st.
(b) Children shall rec e ive training in all asp e ct s of p e r s onal
hygi e n e . Th e y shall b e taught and h e lp e d to k ee p th e ms e lv e s
cl e an.
(c) Each child shall hav e his own cl e arly id e ntifi e d toothbrush,
comb, towel and wash cloth and his own separat e plac e for
k ee ping th e s e p e rsonal articl e s. — Tow e l s , fac e cloth s , and b e d
lin e n s shall b e chang e d as fr e qu e ntly as n e c es sary to b e clean.
AulhorlryC.S. I3ID. An. lA: I43B-153.
.1208 NUTRITION
{ft) — Nutritious, foods shall b e provid e d in th e vari e ty and
Th e child car e staff s hall b e al e rt to anv inf e ctiou s amounts n e c e ssar\ to m ee t th e National R e s e arch Council's i
on duty at any giv e n tim e sha l l hav e tak e n a cours e in
fir s t aid giv e n by a qualifi e d instructor and b e ab l e to
administ e r fir s t aid. Fir s t aid kits shall b e availab le .
Home H e alth Car e
Each m e mb e r of th e child car e staff s hall b e able to
r e cogniz e common s ymptoms of i l lness e s and
disturbances in children and to not e anv d e f e cts.
condition of th e childr e n and shall tak e prop e r r e comm e nd e d daily dietan, allowanc e s. Sp e cial di e ts shall b e'
precautions to prev e nt th e s pr e ad of such condition. plann e d to m ee t any mod i fi e d food n ee ds of individual childr e n.
fb) Th e child car e staff s hall b e abl e to provid e hom e (b) Nourishing snacks shal l b e provid e d and may b e part of
nursing care. A st e ril e clinical th e rmom e t e r s hall b e th e dai l y food ne e ds, but th e y s hall not r e plac e r e gular meal s .
kept availabl e for us e . Arrang e m e nts s hall b e mad e
for i s olat i on and appropr i at e att e ndant car e of a
child with a communicabl e dis e as e .
Snacks ar e to b e r e cord e d on th e r e gular m e nu. Recomm e nded
snacks ar e milk, fr es h fruits and v e g e tabl e s, ch ee s e , p e anut
butt e r, nuts, popcorn, crack e rs, and occa s iona l K. cooki e s.
Prescription drugs shall onK b e administ e r e d wh e n (c) M e nus shall be plann e d and wr i tt e n by or in consultation
approv ed — by — a — lic e ns e d — medical — phy s ician. with a r e gist e r e d nutritionist or di e titian. Wh e n food s e rvic e s ar e
M e dicin e s shall be stored in a se parat e cabin e t. not dir e ct ed b y a nutritionist or di e titian, who is d e fin e d a s a
graduat e of a school of hom e e conomics or di e t e tics, p e riodic
consultation w i th a r e gist e r e d nutritioni s t or d ie titian s hal l b e
clos e t or box not acc e ssibl e to childr e n.
M e dica l R e cord s . — Each chi l d shall have a p e rsonal
m e dical r e cord which shall includ e th e r e port of th e impl e m e nt e d. R e cords of consultation s and r e comm e ndations
phy s ician who e xamin e d him prior to admi ss ion to th e
institution, a r e cord of hi s immunization s , cons e nt for
m e dica l car e sign e d by the person or repr ese ntativ e of
th e ag e ncs having l e aal custodv of th e child, a r e cord
shall b e maintain e d by th e faci l ity.
(d) M e nus shall b e plann e d and written at least on e w ee k in
advanc e to insur e th e me e ting of nutrit i onal n ee ds and to giv e th e
ba s i s for purchasing t o m ee t th e s e n ee ds.
of e ach phy si cal e xamination and of m e dical car e ( e ) Childr e n and staff m e mbers who e at with th e m s hall b e
given whil e th e child is in car e . — Th e latt e r shall
includ e — a — r e cord — of hospitalizations. — all e rgi e s,
significant illn e sses or accid e nt s and tr e atm e nt giv e n.
Any drug allergies s hall b e not e d on th e cov e r of th e
fold e r containing th e m e dical r e cords.
Auihorin-<J.S. 131D-1U.5: I43B-153.
.1206 DENTAL PROGRAM
Th e i nstitution shall hav e a plann e d program of d e ntal car e and
d e ntal h e alth which li hall b e follow e d for e ach child in car e :
serv e d th e same food e xc e pt for t e a and coff ee , un le ss
diff e r e nc e s in ag e or sp e cial di e tary n ee d s are factors.
Aiilhorin-G.S. 131D-I0.5: N3B-I53.
SECTION .1300 - PUBLIC INSTITUTION BUILDINGS:
EQUIPMENT AND SAFETY
.1301 CONSTRUCTION
(a) Con s truction plans for n e w. r e construct e d or r e novat e d
bui l dings shall b e compatibl e with the child car e function of th e
I
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NORTH CAROLINA REGISTER
December /. 1998
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PROPOSED RULES
institution and its program n ee ds. A child caring institution shall
not off e r in the sam e building two differ e nt types of occupancy
. or programs of car e .
.1304 FIRE SAFETY
(a) Childr e n and staff shall b e instruct e d on fir e prevention.
(b) Car e shall b e e x e rci se d b\ th e staff in allowing children to
F (b) All local and stat e building cod es and zoning regulations us e match e s, or to handle inflammabl e or combu s tible material s -
shall b e complied with in th e construction of a n e w child caring (c) Fir e e vacuation plans shall b e developed and posted in
institution, in th e conversion of an e xisting building for child e ach building,
caring institution purposes, and in th e r e mod e ling of an existing
child caring institution.
(d) Fir e drills shall b e h e ld p e riodically for both children and
staff, at l e ast quart e rly.
( e ) Th e staff and childr e n r e siding in an in s titution s hall be
train e d in prop e rly r e porting a fir e , in e xtinguishing a small fir e ,
and in e scaping from a fir e .
f#) — For over)' 2.500 squar e f ee t of floor ar e a and for each
floor, th e r e shall b e at l e ast one fir e e xtinguish e r. — Fwe
building s and of all conv e r s ion s s hall b e submitt e d to and e xtinguish e rs shall b e provid e d in accordanc e with th e standards
approv e d by th e D e partm e nt of Human Re s ourc e s, division of of th e National Fir e Protection Association standard numb e r 10.
facilit>' s e n'ic e s. construction s e ction prior to b e ginning Th e \ shall b e insp e ct e d r e gularly and kept charg e d and fill e d at
all tim es in accordanc e with National Fir e Prot e ction Association
standard numb e r 10.
Authority- G.S. I31D-10.5: 143B-153.
.1302 REQUIREMENTS FOR APPROVAL
fa) — ProliminaPt' and final construction plan s for all n e w
construction. Four s e ts of con s truction plans and specifications
shall b e forward e d to th e Department of Human R e sourc e s.
division of facilitv' s ervices, construction s e ction for distribution (g) Fir e e xits, that is. doors, hallways, and stairs, shall be well
to and r e vi e w by the Division of facilits s e rvic e s, th e Divi s ion light e d, k e pt cl e ar and r e ady for in s tant us e . No locks s hall b e
and th e in s tall e d on e xit and on room doors which would prev e nt
occupant s from g e tting out by th e simpl e op e ration of a single
knob or l e v e r. — Em e rg e ncy lighting shall b e provid e d wh e re
r e quir e d for gr e at e r saf e t> in exiting th e building.
(h) A manual fir e alarm or signal s\st e m shall b e installed in
e ach child caring institution r e sid e nc e which — is audibl e
throughout th e building, k e pt in working ord e r and readily
division — of facility s e rvic e s, construction — s e ct i on or ev id e ntifi e d b\ the staff and th e childr e n.
of Social Services, the Division of h e alth s e rvic e s
D e partm e nt of In s uranc e , e ngin ee ring division.
(b) If a question arises as to wh e th e r an e xisting building us e d
for child caring institution purpos e s m ee ts th e r e quir e m e nts of
th e North Curolina Stat e Building Code, an int e rpr e tation can b e
obtained b\ submitting a t1oor plan of th e building togeth e r with
details of construction to th e Departm e nt of Human R es ourc e s-
r e qu e sting an on site visit by a m e mb e r of th e staff
Authorities. 13 ID. Art. I A: 143B-153.
.1303 GENERAL REQUIREMENTS
All buildings to b e us e d for child caring in s titution purpos e s
(i) Automatic smok e det e ctors shall b e install e d in e ach child
caring institution residenc e in accordance with th e North
Carolina bnifonn R e sid e ntial Building Code Volume 1 B.
Section 35 in which up to fiv e childr e n r es id e and in accordanc e
with the North Carolina Stat e Building Cod e . Volum e 1. S e ction
720 in which six or mor e childr e n r e sid e .
(}) Al l e l e ctrical and h e ating installation s s hall b e approv e d by
shall me e t th e requir e m e nt s of th e North Carolina Stat e Building
Cod e which is adopted by ref e r e nc e pursuant to G.S. 150B M(c) th e local building insp e ction d e partm e nt and th e e l e ctrical wiring
in th e building s ha l l conform with th e r e quir e m e nts stat e d in
Volum e IV of th e North Carolina Stat e Building Cod e .
Authority- G.S. 1 31 D- 10.5: 143B-153.
.1305 HEALTH ASPECTS
(a) G e n e ral Sanitation. — Prop e r faciliti e s shall b e provid e d
throughout th e institution's buildings and pr e mis e s to e nabl e
compliance with acc e pt e d sanitation standards. — Th e wat e r
supply, sewerage disposal, solid vsast e disposal, food s e rvic e ,
and other faciliti e s shall meet applicable rules and r e gulations of
the Division of h e a l th s e rvic e s:
for the tvpe of occupancy for which th e bui l ding i s to b e us e d:
(4^ Institutional Occupancy. R e sid e ntial car e faciliti e s for
10 or mor e childr e n who ar e d e p e nd e nt, n e gl e ct e d,
abandon e d, d e stitut e , orphan e d, d e linqu e nt, and not
involuntarily d e tain e d shall m ee t applicabl e group I
inst i tutional r e quir e m e nts in Vol. 1 S e ction 100 and
Vol. 1 C (handicapp e d r e quir e m e nt s ) of th e North
Carolina Stat e Building Cod e .
f3) Residential Occupancy
(a) All residential car e faciliti e s k ee ping as many as six
and less than — 10 childr e n who ar e d e pend e nt,
n e glected. abandon e d. d e stitut e . orphan e d-
d e linquent or ch i ldr e n who ar e s e parat e d temporarily
from their par e nts shall m ee t group A "sp e cial
occupanc\ requir e m e nts" in S e ction 510 of Chapt e r
V of th e North Carolina Stat e Building Cod e .
(H Al l r e sid e ntial care faciliti e s k ee ping no mor e than
fiv e childr e n shall m e et the North Carolina Uniform
R e s i d e ntial Building Cod e . Mobil e hom e s ar e not
a l low e d for child caring institution r es id e nc e s.
Aulhorin-G.S. 13ID-I0.5: 143B-I53.
f+i-
In s titutional Occupancy. Each building providing
car e or food s e rvice to 13 or mor e childr e n shall
m e et the r e quir e m e nts of "Rul e s Gov e rning th e
Sanitation of Hospitals. Nursing and R e st Hom es .
Sanitar i ums, and Educational and Oth e r Institutions"
pr e par e d by the Departm e nt of Human Resourc e s,
division of health s e rvic e s, sanitary engine e ring
s e ction.
f3) R e sid e ntial Occupancv. — Each building providing
car e or food s e rvic e to no mor e than 12 childr e n
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881
PROPOSED RULES
shall m e et th e r e quir e m e nt s of "R es id e ntial Car e .1308 HEAT, LIGHT, AND VENTILATION
Facilit ie s" tor not mor e than 12 r e sid e nts pr e par e d fa^ — H e ating faciliti e s shall b e provid e d that will k oo p th e
b\ the D e partm e nt of Human Resourc e s, division of t e mp e ratur e in living quart e rs of the institution within a g
health — ser\'ices. — sanitars — e nain ee rint; — s e ction.
Acc e ptable facilities include:
(A) — a — proporK — operating — dom es tic — dishwashing
machine, or
{%) — imm e r s ion for at l e ast on e minut e in cl e an hot
wat e r at a t e mp e ratur e of at l e ast 170 d e gr ee s
fahr e nh e it or hott e r, or
(€^ — imm e rsion for at l e ast two minut es in cl e an wat e r
to which has boon added e nough ch e mical sanitiz e r
to provid e at l e ast 50 parts p e r million of availabl e
chlorin e or 12.5 part s p e r million of availabl e
iodin e ,
(b) To assure complianc e with all local and stat e sanitation
r e gulation s , construction plans for a n e w child caring institution
r e sid e nc e . r e no\ation of an e xi s ting building for child caring
in s titution purpos e s, and r e construction of an e xisting child
caring institution shall b e s ubmitt e d to and approv e d b\ th e
count) h e alth department in which th e facilitv is located.
Authorm-G.S. 1310-10.5: 143B-153.
.1306 BATH AND TOILET F.^CILITIES
la) Th e r e shall b e not l e s s than on e laxalors with hot and cold
wat e r for e \ e r> six childr e n, on e toil e t for e \ e r\ six childr e n, and
on e tub or show e r for e v e r> e ight childr e n. — In addition, there
s hall b e a minimum of on e tub and on e toil e t and on e la\ator> in
ea ch building in which childr e n li\ e .
(b) Th e r e s hall b e s e parat e toil e t and bathing faciliti e s for staff
who l i\ e in th e child car e r e sidences.
AurhonnG.S. 131D-10.5: 143B-153.
.1307 SLEEPING FACILITIES
fa-) — Each child car e r e sid e nc e develop e d after th e e ff e ctiv e
comfortabl e rang e , not low e r than 62 d e grees fahr e nh e it during
th e da\ and 55 d e gr ee s fahr e nh e it during the night. — Sp e cial
att e ntion s hall b e giv e n to h e ating bathrooms abov e these
minimum t e mp e ratur e s.
(b) Natural light shall b e availabl e in even room used by
childr e n and staff Window ar e a s shall not b e l e ss than 1 10 of
th e floor area of each room.
(c) Ad e quat e v e ntilation shall b e availabl e in e v e r)- room in
the institution which is us e d h\ childr e n and s taff.
Authority G.S. 131D-10.5: 143B-153.
.1309 INSPECTIONS
The institution shall r e qu es t and se cur e in s p e ctions at l e ast
annuall} from th e local s anitarian and from th e loca l building
insp e ctor or fir e in s p e ctor. R e port s of such insp e ctions shall be
submitt e d to th e D e partm e nt of Human R e sourc e s.
Authority G.S. 13 ID. Art. lA: 143B-153.
SECTION .1400 - PUBLIC INSTITUTION LICENSING
INFORMATION
.1402 LICENSE
|a) Application for a new lic e ns e to op e rate a child caring
institution is mad e to the D e partm e nt of Human R e sourc e s. i
div ision of social s e r\ ic e s, prior to th e first child b e ing acc e pt e d *
for full time car e .
-ehtW
(b) Application for r e n e wal of a lic e ns e to op e rat e a cnii
caring — institution — is mad e to th e D e partm e nt of Human
R e sources, division of social s e rvic e s, prior to th e e xpiration of
th e curr e nt lic e n se .
fe^ — Full Lic e ns e . — A full lic e ns e to op e rat e a child caring
institution will b e issu e d for on e v e ar wh e n a lic e n se s tud>
dat e of th e s e standards s hall provid e in e ach b e droom a indicat e s th e in s titution complies with the minimum standards
minimum of 80 squar e f ee t of t1oor spac e for e ach occupant for child caring institutions.
e xc e pt that a b e droom for on e occupant shall prov id e a minimum
of 100 squar e f ee t.
(d) Provi
. isional Lic e ns e . A provisional lic e n se to op e rat e can
b e is s u e d for a p e riod of time up to six months wh e n a lic e ns e
fb) — In e xi s ting r e sid e nc es e ach b e droom s hall provid e a s tudv indicat e s th e institution needs additional tim e to compiv
minimum of 60 squar e f ee t of t1oor s pac e for e ach o ccu pan t
e xcept that a b e droom for on e occupant shall prov id e a minimum
of 8 squar e f ee t of floor space.
(c) No child shall shar e a b e droom with a staff m e mb e r.
(d) Each child shall hav e a b e d of his own. not l e ss than 30
inch e s wid e nor short e r than his height. Beds shall b e at l e a s t
thr ee f ee t apart at th e h e ad. foot, and sid e s: and doubl e d e ck e r
with particular r e quir e m e nt! s). — .\ provisional lic e ns e for an
additional period of tim e to m ee t th e sam e r e quir e m e nt! s) will
not b e issu e d.
fe-) — T e rmination of Lic e ns e . — .A lic e ns e to op e rat e a child
caring institution will not b e r e n e w e d vsh e n the institution do e s
not compiv with th e minimum standards for child caring
institutions aft e r s ufficient time is allow e d in th e Judgm e nt of th e
b e d s shall b e at l e ast five feet apart. Each b e d s hall b e prov id e d statTofth e D e partm e nt of Human R e sourc e s for th e institution
with s prings, a mattr e s s in good r e pair and ad e quat e b e d
cov e ring. No dav b e d. conv e rtibl e sofa or oth e r b e dding of a
t e mporapi natur e shall b e u se d.
( e ) B e drooms shall b e e quipped with clo se t and draw e r spac e
for storag e of clothing and oth e r p e rsonal b e longings.
to corr e ct ar e as of op e ration vshich are b e low standard.
ff) — R e vocation of Lic e ns e . — A lic e ns e to op e rat e mav b e
revoked if th e child caring institution is in v iolation of th e
minimum lic e nsur e standards and is making no eftorts to correct
th e d e Fici e ncv. /
.Author it^■ G.S. 131D-U).5: 143B-I53.
Authority- G.S. 131D-in.5: 143B-153.
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.\ORTH C.AROLI.\A REGISTER
December 1, 1998
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PROPOSED RULES
annually for all staff working directly with the childr e n.
Training shall b e s p e cific to th e assigned duties of staff and bo
d e sign e d to improve vvorlc with childr e n in area s such as
b e havior manag e m e nt, communication and relationship skills,
education, problem solving, fir s t aid. m e al preparation, trip
planning. — using — community — r es ourc e s, — goal — s e tting — aed
e valuation. — sch e dul e — planning. — water — saf e ty — and — cri s i s
int e rv e ntion. — R e cords of s uch training will bo kept on file,
which would includ e th e dat e , th e subj e ct, m e thod of training,
and th e nam e of the porson(s) who conduct e d th e training,
lic e ns e d or see king licensure to a childr e n's camp a s d e fin e d in ff) — A childr e n's camp shall employ p e r s onn e l who are
G.S. 131D 10.2(5). Th e purpos e of th e s e Rul es is to assur e , to r e sponsibl e for sup e rvising th e staff who provid e day by day
th e e xt e nt possible, that th e child s e r\' e d in th e camp will r e c e iv e guidanc e to e ach child to e nsur e th e continued training and
d e v e lopm e nt of such staff in th e discharg e of their assigned
duti e s.
SUBCHAPTER 41 R - LICENSING STANDARDS:
RESIDENTIAL CAMPS PROVIDING
FOSTER CARE FOR CHILDREN
SECTION .0100 - LICENSING STANDARDS:
RESIDENTIAL CAIVIPS PROVIDING
FOSTER CARE FOR CHILDREN
.0101 APPLICABILITY
(a) The rul e s in this Subchapter shall appK to all p e r s on s
qualit\ ' care: and. to allow th e maximum amount of fi e xibilitx for
individual program s to e xist with diff e rent program d e signs.
philosophi e s r e garding d e aling with changing b e havior, and
childr e n's population.
(b) A full lic e n s e shall be valid for a p e riod not to exceed 12
month s .
fe) — Persons lic e ns e d to provid e fost e r car e at either a
p e rman e nt camp sit e or in a wi l d e rn ess se tting shall admit no
child l es s than 10 years of ag e and th e duration of an admission
shall not exc ee d 12 months. No child s hall b e r e admitt e d within
six months of th e dat e of discharg e .
(d) A camp for childr e n with e ith e r b e havior probl e ms or in
conflict with th e law i s a r e sid e ntial facilir\ that utiliz e s a
therap e utic camping e nvironm e nt to carry out a pr e v e ntiv e and
rehabilitativ e proc e ss.
Authority G.S. 131D-10.5.
.0102 ADMINISTRATION AND ORGANIZATION
{&) — Childr e n's camps providing fo s t e r car e at e ith e r a
perman e nt camp sit e or in a wild e rn e ss s e tting shall comply with
th e administrative and organizational r e quir e m e nt s s e t forth in
lONCAC'llN.
(b) Th e Dir e ctor of th e childr e n's camp shall b e no young e r
than 21 v e ars of ag e . hav e a bach e lor's degr ee , from an
(g) First aid training is r e quir e d for all couns e ling staff as
follows:
m First aid training received must b e docum e nt e d in th e
files for all group couns e lor s and th e ir s up e rvisors;
(5-) First aid training mu s t b e conduct e d by a c e rtifi e d
instructor or a lic e nsed prof e ssional: and
(5^ First aid training must b e curr e nt. — C e rtificat e s or
stat e m e nts of training mu s t b e contain e d in th e camp
fil e s and all first aid training is to b e updat e d e v e r>'
thr ee y e ars,
(h) Water safet> activitv' training is r e quir e d for all couns e ling
staff a s follows:
f-M aH — group coun se ling staff and th e ir imm e diat e
s up e rvisors shall hav e succ e ssfully compl e t e d th e
basic — r es cu e — and- — wat e r — saf e ty — cours e . — with
c e rtification docum e nt e d in th e camp fil es : and
{2) ba s ic r e scu e and wat e r saf e ty training shall b e updat e d
e v e rv thr ee v e ar s .
.Author it}- G.S. 1 31 D- 10. 5.
.0103 PROGRAM REQUIREMENTS AND SERVICES
fa) — Th e camp shall hav e a writt e n d e scription of s e rvic e s
accr e dit e d four y e ar coll e ge or univ e rsit>' and shall have at l e ast provid e d b) the camp to addr e ss th e n ee ds of th e popu l ation
two y e ars of work exp e ri e nce, on e of which was in a s up e rvisor. ' se rv e d. Th e docum e nt shall includ e a description of th e camp's
capacit> in th e fi e ld of child w e lfare s e rvices, health services. plan for famiU involvem e nt and for th e provi si on of servic e s.
e ducation, psychology, social s e rvices, religious e ducation or
oth e r alli e d prof e ssion.
(c) Couns e lors shall be at l e ast 21 \ears of ag e and shall b e
r e quir e d prior to assuming the position and annualK th e r e aft e r
to pr e s e nt a m e dical statement from a licensed medical provid e r in providing daily activiti es and s tructur e s for m ee ting th e
that v e rifi e s no communicabl e disease or sp e cific illn e ss which
making it clear which s e rvic es ar e provid e d dir e ctK by th e camp
and which ar e provid e d in coop e ration with cither family or
commun i ty r e sourc e s,
(b) Th e writt e n d e scription of th e camp's p l an shall be utiliz e d
ma\ pos e a significant risk of transmis s ion in th e Facilit> - . Th e
stat e m e nt shall b e writt e n based upon examination not mor e than
six months prior to e mploym e nt.
ph\ sical. s ocial, e motiona l , e ducational and d e velopm e ntal n ee d s
of childr e n in car e .
fe) — Th e camp s hall d es ignat e th e staff responsibl e for
planning, impl e m e nting, and e va l uating it s various program
(4) — Th e childr e n's camps shall provide staff n e c es sary ' to activiti es and function s and its arrang e m e nt s for groupings of
insure th e h e alth and s af e ty of e ach child in care. — Th e camp
shall meet the qualification s outlin e d as follows:
<-H — th e r e shall b e at l e ast on e couns e ling staff member on
dutv for e v e rx e ight childr e n in residenc e : and
(^-) during sleeping hours, th e counselors shall be located
so that no child will b e out of cal l ing rang e ,
( e ) At l e ast 15 hours of in s e rvic e training shall b e provided
childr e n in car e .
(d) Th e camp shall d e signat e th e s taff r e sponsible for periodic
ass ess m e nt of e ach child' s progr e s s in care and for determining
wh e n changes need to b e made in th e child's plan of car e .
( e ) Th e camp s ha l l s p e cif> who is authoriz e d to admit and
discharg e children. Prior to th e admission of a child, th e camp
shall secure documentation of the chi l d's l e ga l custodv and shall
13:11
NORTH CAROLINA REGISTER
December I, 1998
883
PROPOSED RULES
admit th e child only upon writt e n agreement signed b> th e
p e rson or ag e ncy r e pr e s e ntativ e having the l e gal authority to
plac e a chi l d.
(f) Each child shall hav e a m e dical ass e ssm e nt, within 60
da\s prior to admission. — indicating th e child's ability to s e rvic e s to e ach child in car e will bo d e v e lop e d within 30 days
part i cipat e in th e activities and sp e citying th e child's curr e nt of admis s ion for e ach child and docum e nt e d in th e child's case
m e dical cond i tion and medications pr es crib e d and indicat i ng th e t1l e . including:
r e quested th e discharg e , th e progr e ss that had been
mad e toward realizing th e goals, and to whom the
child was discharg e d. d
(+) — Writt e n int e rv e ntion goals and plan s for impl e monting |
pr e s e nc e of an\ communicabl e dis e a se or m e dical condition
which may pos e a significant risk of transmi s sion in th e facility.
(g) Th e camp shall not acc e pt a child for car e until an intake
study has b ee n mad e b> th e assign e d s taff p e r s on and it has b ee n
d e t e rmin e d that th e needs and th e b e st int e rests of the child and
hi s family or custodian can b e m e t through th e camping program .
fh-) — Th e camp s hall e stabl i sh cl e arK writt e n admission
po l ici e s and proc e dur e s which shall b e availabl e , upon r e qu es t.
to th e public.
f-H goals stat e d in sp e cific, reali s tic, and m e asurable
t e rm s :
{^ plans that ar e action oriented, including who on the
staff is r es ponsibl e for th e child to r e ach specific
goals, and how th e staff will act in order for the goals
to b e m e t: and
{¥) goal s and plans writt e n in coop e ration w ith th e child
and his famiK and his legal custodian.
(fFH) — Th e child' s se rvic e plan shall b e bas e d upon th e
(i) Admission to th e camp must b e limited to the number of a s s e s s m e nt of th e child and th e family's n ee ds and th e r e asons
chi l dr e n for whom th e camp is lic e ns e d and typ e s of childr e n for
whom a camp se tting is imp e rativ e . Only thos e childr e n who
n ee d car e , individual att e ntion and sup e rx ision apart from th e ir
famili e s and for whom th e camp i s qualifi e d b\ staff, program,
facility, and se rvic e s shall b e admitt e d.
(j) Prior to th e admission dat e , th e camp shall docum e nt th e
following in writing for e ach child:
f4^ — who has l e gal cu s tod\ :
(5-) who will b e tlnancialK r es ponsibl e for th e support
and m e dical and d e ntal car e of th e child:
{i) how th e famiK and l e gal custodian will participate in
th e program:
{M how phon e calls, l e tt e rs, and visits will b e arrang e d:
ki^
hovs clothing, allowances, and gifts for the child will
b e handl e d:
f6) writt e n cons e nt from th e child's l e gal custodian for th e
child to particip ate in acti\ iti e s that the camp will be
p l anning for th e child awa> from th e camp ar e a: and
fr^ a writt e n agr ee m e nt, sign e d prior to th e da> of
admi s sion b\ th e camp staff, th e child, par e nt and
legal — custodian. — which — sp e cifi es — w-he — w+U — be
r e sponsibl e for plann i ng and impl e m e nting goa l s
whi le th e chi l d i s in th e camping program,
(k) Th e camp shall establish writt e n discharg e polici e s and
proc e dur e s which will includ e at l e a s t th e following:
f4-) gi\ ing prior notic e to th e par e nt or custodian wh e n a
child is sch e duled for di s charg e :
(2) — planning with the child and his par e nt or l e gal
custodian for his discharg e , giving th e opportunity for
discu s sion and aft e r car e planning:
f^-» di s charging children und e r 1 8 who ha\e not been
l e ga l K e mancipat e d onl\ to th e p e rson or ag e nc\
having l egal custody of th e chi l d:
(4^ notifxing th e l e gal cu s todian promptN in th e e \ e nt a
child l e av e s th e camp for any non sch e dul e d purpos e
that the chi l d's fost e r care n ee ds can b e st b e accommodated in
th e camping e nvironm e nt.
(n) Th e plan shall b e r e vi e w e d at l e ast e\ery three months to
d e termin e th e child's and famiK 's progr e ss or lack of progr es s
toward s m ee ting th e goals and obj e ctiv e s, and to d e t e nnin e
chang e s that n ee d to b e mad e in th e plan.
(o) Childr e n's camps s hall maintain compl e t e , accurat e , and
curr e nt case records on e ach child r e c e iving s e rvic e ,
(p) Th e cas e r e cord shall includ e at l e ast th e following:
f+^ a compl e t e application for se rvic e , sign e d by '"^e
p e rson or ag e ncx ha\ ing legal custody, which includes
at l e ast th e follow ing: a
(A^ th e nam e , addr e ss, rac e . se x. r e ligion, birth *
dat e , and plac e of birth of the child:
k%) th e nam e , addr es s, t e l e phon e numb e r, and
marital status of th e par e nt or l e gal custodian,
siblings, grandparents, and other significant
individuals to th e child:
{G^ dat e of admis s ion and sourc e r e f e rral: and
(-B4 all docum e nts r e lat e d to th e r e f e rral of th e child
to th e camp, including social. famiK. m e dical.
e ducational, and oth e r p e rtin e nt history that
wa s us e d in making a d e ci s ion to admit th e
child to th e camping program.
{^ copi e s of l e gal docum e nts s uch as birth c e rtificat e s.
court dispositions, plac e m e nt agr ee m e nts:
fS-) a cop> of the child's se r\ ic e plan which is k e pt curr e nt
b\ th e assign e d staff and docum e ntation of th e e ffort s
mad e b\ th e camp d e signat e d s tatf p e rson to e nabl e
th e cli e nt to r e ach the agr ee d upon goals:
f4-) results of all m e dical e xaminations, psvchological
e xaminations, and other ess e ntial information: and
{§^ a summary supporting the r e asons for discharg e or
t e rmination from th e program.
fq4 — All information in th e cas e r e cord must be consid e r e d
juch as m e dical e m e rg e nc\ or runawa>. Proc e dur e s privil e g e d and confid e ntial and shall b e r e l e a se d onl> when th e
shall b e d e v e loped for handling such non s ch e dul e d
d e partur es and for d e t e rmining how th e child will
r e turn to th e program: and
{^ — docum e nting in th e cas e r e cord th e circumstanc e s
l e ad i ng to discharg e , the r e ason for discharg e , who
par e nt or l e gal custodian has sign e d a consent to r e l e as e
mtomiation form.
(r) During th e p e riod of servic e for th e child, th e cas e r e cord
shall docum e nt s e rvic e and educational e xp e ri e nc e s provid e d
and the child's r e spons e , e sp e cial K :
H84
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PROPOSED RULES
(+) obs e rvations of respons e to individual goal s and plan s
and individualiz e d e ducational plan r e cord e d with
significant frequoncy to e nabl e e valuation of th e ir
e ffici e ncy;
(3^ reports of th e r e view, evaluation and chang e in th e
{¥i 1 urinal for e ach 30 mal e children (urinals may not be
s ub s titut e d for flush toilets); and
(4-) 1 handwashing facility, adjac e nt to toilet faciliti e s, for
each 20 chi l dr e n,
(g) Laundry faciliti e s or e quipm e nt shall be availabl e at each
individualiz e d — service — pten — and — individualiz e d camp for all staff and childr e n.
(h) Gasolin e , keros e n e , and oth e r flammabl e mat e rials shall
b e stor e d in cov e r e d saf e containers plainly lab e l e d as to content,
(i) All pow e r tool s , including mowers and trimm e rs, must
(4) r e cord s of s ervices provid e d, e sp e cially m e dical and hav e th e n e c e ssary saf e ty d e vic es and b e us e d according to
(^
e ducation plan, which ar e to b e don e at l e ast ev e ry
three months;
summari e s of parent conferences;
d e ntal servic e s;
{§hf r e cord s of significant b e havior incid e nts;
(6) — r e cords of tim e away from camp; and
ifP) updat e s of any chang e in admission data.
(s) Th e camp shall make every effort to e nhanc e and e xpand tools shall b e s tor e d in a lock e d plac e not occupi e d by children,
th e family' s r e lationship with the child, and to facilitat e positiv e 0^ — Fir e e xtinguish e r s mu s t b e availabl e in all areas so
communication b e tween th e m in accordanc e with th e child's d e signat e d by fir e saf e ty official s and s hall b e prop e rly charged
manufacturer's instruction, maintain e d in good r e pair, and us e d
only by thos e p e rsons experi e nced in th e s af e us e of power tools.
Wh e n camp e rs are using such equipm e nt, a train e d and
r e spon s ibl e adult must b e pr e s e nt. When not in u se all pow e r
s e rvic e plan.
(t) The camp shall provid e condition s of r e a s onabl e privacy
for planned visits and t e l e phon e contact s b e tw ee n th e child and
famil). friends, and significant oth e rs.
fu^ — Ther e must b e a minimum of 2 coun se lors c e rtifi e d in
Basic — Re s cu e — aftd — Wat e r — Saf e ty — for e ach — 1-0 — childr e n Authority G-S. 131 D-10. 5.
and hav e a curr e nt insp e ction l ab e l.
(k) Each p e rman e nt camp sit e must b e annually insp e ct e d by
local fir e mar s hal; and all
th e local h e alth d e pai -- nt and
v i olations must b e corr e cted.
participating in any on prop e rtv activity invo l ving wat e r, such as
swimming, boating, cano e ing, and raft i ng. — Off prop e rt\. th e
ratio shall b e 3 coun se lors for e ach 10 childr e n for trips of 24
hours or more. At l e ast on e couns e lor shall b e c e rtifi e d in CPR
by th e Am e rican R e d Cro s s.
0105 TRANSPORTATION
(a) V e hicl e s s hall b e driv e n only by thos e p e r s ons who hav e
a valid driv e r's lic e ns e .
fb) — Op e n body or stak e b e d v e hicl es s ha l l not b e us e d to
(v) An itin e rant shall b e on fil e at camp for any activity for transport childr e n outsid e th e confin e s of th e camp grounds.
mor e than 2 4 tiours that is off of camp prop e rty, wh i ch shal l
includ e nam e s of thos e participating, daily s ch e dul e , listing of
ch e ck in points, rout e s to b e tak e n, and t e l e phon e numb e rs of including th e driv e r.
(c) Th e r e must b e at l e ast I qualifi e d staff m e mb e r, oth e r than
th e driv e r, in any v e hicl e transporting mor e than 9 individua l s.
e m e rg e ncy r e sourc e s along e ach rout e ( s h e riffs, hospital s , r e scu e
squads).
Authority G.S. 131D-10.5.
.0104 FACILITIES
fa) — All s l ee ping units must provid e at l e ast th e fol l owing
s pac e :
fB — 30 s quar e f ee t p e r p e rson;
(3) — 6 f ee t b e tw ee n h e ads of sl ee pers when b e ds are in a
h e ad to h e ad configuration; and
(3^ — 30 inch es b e tw ee n sid e s of beds when beds are in a
s id e by sid e configuration.
(b) All camp e r sl ee ping faciliti e s sha l l be limit e d to on e l e v e l
s tructur e s.
(c) Any structur e , sl ee ping or oth e rwise, with an occupancy
of more than 12 p e r s ons, including staff, shall b e provid e d with
at least 2 s e parat e and ind e p e nd e nt m e ans of exit.
fd) — No mor e individuals may b e tran s port e d in any
automobil e , bus, or van than th e r e ar e seats in th e v e hicl e .
(^) — Childr e n shall not b e transport e d for more than 1
continuous hours without a minimum of a 1/2 hour r e st stop.
(f) Childr e n shall not b e transported in a vehicl e for mor e
than 10 hours in any 24 hour period of tim e .
Authority G.S. 1 31 D- 10. 5.
.0106 DAILY LIFE
(a) Em e rg e ncy m e dical car e must b e provid e d by an on call
physic i an, nurs e , e m e rg e ncy m e dical t e chnician, or a person who
i s oth e rwis e dul\ c e rtifi e d.
fb) — All childr e n's camp s must b e within 60 minut e s of
e m e rg e ncy m e dical tr e atm e nt.
(c) Th e childr e n's camp mu s t hav e cl e arly d e fin e d, writt e n
disciplinarv polici e s. Th e s e polici e s shall b e dir e ct e d at h e lping
eaeh — child — d e v e lop — his — own — se lf control — afid — as s um e
(d) Open flam e lighting or us e of combustib l e mat e rials such r e sponsibility for his own acts. — Administration of di s ciplin e
as lamp oil or k e ro se n e sha l l not b e us e d in sl e eping sh e lt e rs for
e ith e r lighting or heating,
( e ) Th e r e shall b e potabl e wat e r avai l abl e at e ach camp sit e .
ff) — At e ach children's camp th e r e shall b e provid e d a
minimum of
(+) 1 show e r h e ad for e ach 20 ch i ldr e n;
f3^ 1 flush toil e t for e ach 20 chi l dr e n;
shall b e an adu l t r e spon s ibil i ty. No child or group of childr e n
s hall b e allow e d to punish anoth e r child.
. fd) — Childr e n mu s t not b e subj e ct e d to cru e l, s e v e r e or
e xc e ssiv e disciplin e inc l uding, but not limited to, physical abuse,
v e rba l abuse, locked confinement, physical r e straint, d e privation
of food, of mail and of family visits and contacts,
(e) Childr e n mu s t hav e at l e a s t 3 m e als availabl e each dav.
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NORTH CAROLINA REGISTER
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885
PROPOSED RULES
plus nourishing snacks. Th e camp shall pr e par e v s Titten menus
on at l e ast a v see kly ba s is. Such m e nus sha l l b e on fil e for at
l e ast 12 months. — Wh e n food se rvic e s ar e not directed by a
r e gist e r e d nutritionist or di e titian, th e p e rson who directs food
s e rvic es must obtain consultation from a register e d nutritionist
or di e titian on an annual basis.
(f) Childr e n must hav e a daily chang e of clothing ava i labl e ,
including s ocks, underw e ar, and out e r clothing suitabl e to
w e ath e r conditions.
(g) Childr e n must have th e availability of being able to bath e
at l e ast onc e e ach day.
(h) Each child must b e r e quir e d to bru s h his teeth at least
onc e a day.
(i) Ther e mu s t b e a minimum of I couns e lor c e rtifi e d in first
aid training for e ach 10 chi l dr e n participating in any organiz e d
activity, s uch as hiking, v e hicular touring, swimming, cano e ing,
boating, and rafting.
Authority G.S. 1 31 D- 1 0.5.
.0107 EDUCATION
fa-) — Each camp mu s t provid e an alt e rnativ e e ducation
e xp e ri e nc e and th e e ducational program shall complv with th e
appropriat e — r e quir e m e nts — of the — D e partm e nt — of — Public
In s truction: or. e ach camp must b e r e gist e r e d as and me e t the
r e quir e m e nt s for a non public school.
(b) Education in a camp s e tt i ng must b e e xp e ri e ntial and shall
b e monitor e d and e valuated pursuant to e ither public or
non pub l ic school e ducational t e sting r e quir e m e nts to d e t e rmin e
th e child's achi e v e m e nt l e v e l.
.Authority U.S. 1310-10.5.
SUBCHAPTER 41S - MINIMUM LICENSING
STANDARDS FOR RESIDENTIAL CHILD CARE
SECTION .0100 - GENERAL LICENSING
REQUIREMENTS
.0101 LICENSING ACTIONS
(a) License.
( I ) The Department of Health and Human Services shall
issue a license when it determines that the residential
child-care facility js m compliance with rules in
Subchapters 41S and 4 IT.
A license max remain in effect for one \ ear.
i21
01
The Department of Health and Human Services shall
automatically provide a 90 day grace period at the
expiration date of the license.
(4) if licensure materials are submitted after the license
expires, but uithin the 90 day grace period, the
Department of Health and Human Services ma\ issue
a license one \ear from the expiration date of the
previous license,
(b) Changes m any information on the license.
(I) The Department ot' Health and Human Services may
change a license during the period of time it js jn
effect if tfie change is in compliance with rules in
Subchapters 41 Sand 4 IT.
(2) The Department of Health and Human Services shall
not change a license during the 90 day grace period. ^
(3) A residential child-care facility must notify' the^
Children's Services Section in writing of its request
for a change in license, including such information as
is necessary to assure that the change is in compliance
with the rules in Subchapters 41 S and 41 T.
(c) Termination.
(1) When a residential child-care facility voluntarily
discontinues child caring operations, either
temporarily or permanently, the residential child care
facility' must notify the Children's Services Section in
writing of tlie date, reason and anticipated length of
closing.
(2) If a license is not renewed by the end of the 90 day
grace period, the Department of Health and Human
Services shall automatically terminate the license.
(d) Adverse Licensure Action.
(1) The Department of Health and Human Services shall
den\. suspend or revoke a license when a residential
child-care facility is not in compliance with the rules
in Subchapters 4IS and 4IT and it detennines that
compliance cannot be accomplished within a
reasonable time as established by the Children's
Services Section of tfie Division of Sc'^ial Services.
(2) The Department of Health and Human >rvices shall
notify a residential child-care faciliu in writin g of the
decision to deny, suspend or revoke a license. ^
(3) Appeal procedures specified in 10 NCAC 41 A .0107. "
WAIVER OF LICENSING RULES AND APPEAL
PROCEDURES, are applicable for persons seeking
an appeal to tlie Department's decision to deny,
suspend or revoke a license.
.Authority- G.S. 131D-10.5: 143B-153.
.0102 LICENSING PROCESS
(a) The license process shall consist of an application phase
and an investigatory phase.
(b) Application Phase. An applicant must apply for a license
to operate a residential child care facility to ttie Department of
Health and Human Services. Division of Social Services, prior
to the first child being accepted for full-time care. An applicant
must apply for renewal of a license to operate a residential child
care facility to tfie Department ot' Health and Human Services-
Division of Social Services, prior to the expiration of the current
license.
(c) InvestigatoA Phase. During this phase, the applicant must
submit to tfie Division of Social Services. Children's Services
Section information on tfie proposed program and projected
methods ot' operation. For proposed private and public
residential child-care facilities, the Division of Social Services.
Children's Services staff together y\ ith those seeking licensure,
complete this phase. For agency residential child-care facilities. ^
the supervising agency shall comp lete this phase. ▼
(d) Decision Regarding Licensure. An applicant must submit
all the materials required by Subchapters 4IS and 4IT to the
886
NORTH CAROL/yA REGISTER
December 1, 1998
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PROPOSED RULES
.
I
Division of Social Services. Children's Services Section prior to
the decision to issue a license to operate.
Authority- G.S. 131D-10.5: 143B-153.
SECTION .0200 - MINIIMUIVl LICENSURE
STANDARDS
.0201 DEFINITIONS
The following definitions apply to the rules in Subchapters 4 1 S
and 411:
(1 ) Case Plan means a written document which describes
the social and child welfare services and acti\ ities to
be provided by the counK' department of social
services in the Family Services Case Plan or other
state and local agencies for the purpose of achieving
a permanent family relationship for the child.
(2) Child Caring Institution means a residential child-care
facility utilizing permanent buildings located on one
site for 10 or more foster children.
(3) Children's Foster Care Camp means a residential
child-care faciliry which provides foster care at either
a permanent camp site or in a wilderness setting.
(4) Direct Service Personnel means staff responsible for
the direct services pro\ided to children and their
families including, but not limited to. child care
workers, residential counselors, house teaching
parents, social workers, recreation and education staff
(5) Director means the person who is m charge of the
agency and who is responsible for developing and
supervising the program of residential child care and
services.
(6) Emergency Shelter Care means 24 hour care provided
in a residential child care f; :ilit\ for a period not to
exceed 90 days, jn accordance with 10 NCAC 411
.0400.
(7) Family Time means specific period arranged for a
child who resides in a residential child care facility to
spend vNJth kin either on-site or awa\ from the
residential child care facility.
(8) Foster Child means an individual less than 1 8 years of
age who has not been emancipated under the
provisions of Article 56 of G.S. 7A. or one who is 18
to 21 years of age and continues to reside in the
residential child-care facility, who js dependent-
neglected, abandoned, destitute, orphaned, delinquent.
or otherwise jn need of care a\\a> from home and not
held in detention.
(Q) Full License means a license issued for one year when
all minimum licensing requirements are met.
(10) Group Home means a residential child-care facilirv
operated either under public or private auspices which
receives for 24 hour care no more than nine children.
This number includes the care givers' own relatives
residing jn the home under the ages of 18^ The
composition of the group shall include no more than
two children under the age of two, four children under
the age of si.\. and six children under the age of 12. A
group home shall not provide day care, nor shall it be
available to adults in the community who wish to rent
rooms.
(11) Individualized Service Plan means a written document
which describes a child's needs, goals and objectives
in a residential child care facility and the direct
services staff tasks and assignments to meet a child's
and famiK's needs, goals and objectives.
(12) License means pemiission granted in writing to a
corporation, agency or county government by the
Department of Health and Human Services to engage
in the provision of full time child care or child placing
acti\ities based upon an initial determination, and
annually thereafter, that such corporation. agenc\. or
a count\ government has met and complied with
minimum standards set forth in this Subchapter
(13) Private Agency Residential Child-Care Facility means
a residential child care facilit\ under the auspices of
a licensed child placing agency or anothei private
residential child care facility.
( 14) Private Residential Child-Care Facilirs' means a
residential child care facility under the control,
management and supervision of'a private non-profit or
for-profit corporation, sole proprietorship or
partnership whic'i operates independentK of a
licensed child placing agenc\ or an\ other residential
child care facilit\.
( 15) Provisional License means a license issued for a
maximum of six months enabling a facilit\ to operate
while some below standard component of the program
is being corrected. A provisional license for the same
below standard program component shall not be
renewed.
(16) Public AgencN Residential Child-Care Facilit\ means
a residential child care facility under the auspices of
a count\ department of social services.
(17) Public Residential Child-Care Facilit\ means a
residential child care facility under the control,
management and supervision of a county government.
( 18) Visiting Resource means volunteers from the
community whose homes children visit on the
weekends, holiday or vacations.
( 19) Volunteer means a person working for an agency who
is not paid.
Authority G.S. 13ID-1U.5: 143B-153.
.0202 RESPONSIBILITY TO DIVISION OF
SOCIAL SERVICES
(a) The residential child-care facility shall annualK submit to
the Division of" Social Services the information and materials
required by rules in Subchapters 41S and 4IT to document
compliance and to support issuance of a license.
(b) The residential child-care facility shall submit to the
Division of Social Services an annual statistical report of
program activities as required in Subchapters 4 1 S and 4 IT.
(c) The residential child-care facility shall provide written
notification to tlie Division of Social Services of a change rn the
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NORTH CAROLINA REGISTER
December 1, 1998
887
PROPOSED RULES
director.
(d) The office of a residential child care facility shall be
maintained uithin the geographical boundaries of North
Carolina. The licensee shall cam out acti\ ities under the North
Carolina license from this office.
(e) The current license of a residential child care facilin shall
be posted at all times in a conspicuous place \\ ithin the faciliu.
ijQ When there js a report alleging abuse or neglect m a
residential child-care facilit%. the director or his designee shall
immediateK notify the Di\ision of Social Services^
(g) The residential child-care facilin shall submit to the
Di\ision of Social Services a report on the circumstances of the
allegation and results of the in\estigation of the allegation of
abuse or neglect. This report, along u ith other information, shall
be re\ie\sed and e\aluated b\ the licensing authorit\ and used in
consultation and technical assistance to the residential child-care
facility to impro\e ser\ices to protect children in placement in
the residential child care facilit\.
(h) The residential child-care facility shall have and follow
policies and procedures for handling an\ suspected incidents of
child abuse or neglect invoking staff The policies and
procedures must include:
( 1 ) .A provision for reporting an\ allegations of abuse or
neglect to the appropriate count\ department of social
seryjces for investigation in accordance with G.S. 7A-
543.
A provision for recording any suspected incident of
abuse or neglect and for promptly reporting jt to the
executive director or to the governing bodv or
advisorv board.
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A provision for promptiv notifying the Division of
Social Services of any allegations of abuse or neglect
of an\ child in care.
A provision for preventing a recurrence of the alleged
incident pending investigation.
A prov ision for written notification to the Div ision of
Social Services of any findings of such an
investigation of child abuse or neglect, specifying
onlv whether there was substantiation or
unsubstantiation of the case.
Authority G.S^ 121D-I0.5: I43B-152.
.0203 SLBSTA.\TI.\TIONS OF NEGLECT
AGAI.NST THE FACILITY
(a) When there js a substantiation of neglect against the
residential child care facilit\ by a count\ department of social
services, a corrective action plan shall be submitted bv the
director to the Division of Social Services within 30 davs of the
substantiated report.
(b) Following the receipt of the corrective action plan, the
Division of Social Services mav make one unannounced on-site
visit to the facilin \yithin the 30 davs follovying the receipt of the
corrective action plan.
(c) The Div ision of Social Serv ices ma\ make subsequent
onsite visits at varying frequencies and times throughout the
ensuing vear to determine that the corrective actions have been
implemented.
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Authority- G.S. I31D-10.5: I43B-153.
.0204 LICENSURE PROCEDURES a
(a) Private Residential Child Care Facility Licensur^
Procedures.
( I ) The following materials shall be submitted to the
Division of Social Services during the application
phase:
(A) Articles of Incorporation:
(B) Bylaws; and
(C) Governing board list with addresses-
occupations and classes on the board, including
officers and terms of officers, if applicable.
The following materials shall be submitted to the
Division of Social Services during the investigatory
phase before an initial license can be issued:
(A) License Application and Summary.
(B) Program policies and procedures stating the
purpose, outlining admission criteria, as well as
defining areas of responsibilities for services
which the facility will assume for children in
care and for services to be provided by the
referring agencv or individual, and discharge
criteria.
Description of the child care program and
evaluation method
Program forms.
Budget outlining anticip ated costs and sources
of revenue for the first vear of operation.
Personnel policies.
Organizational chart.
Job descriptions.
Staff resumes.
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Full and part-time staff work schedules.
Medical examinations on fuH and part-time
direct-care personnel and any relatives in the
home. The medical examinations must be
completed by a licensed medical provider
w ithin six months prior to the license date.
(L) Fire and Building Safen Inspection Report (for
fevyer than seven residents, for seven to nine
residents or fO or more residents), completed
and approved bv the county building inspector
or tire marshal.
(M) Inspection Form for Residential Care Facilities,
completed and approved by tfie county
sanitarian.
(N) Floor plan indicating room dimensions, usage
of each room, vyindow and door locations and
sizes and method of heating.
(O) Written approval from the Division of Facility
Services for a design capacity of seven to nine
residents or U) or more residents.
(3) Division of Social Services shall make one or more
visits to the residential child care facility to complete A
the licensing studv. ▼
(4) Based on mformation obtained during the
investigatory phase. Department of Health and Human
888
WRTH CAROLIXA REGISTER
December I, 1998
13:11
PROPOSED RULES
Services staff shall evaluate the residential child care
facility's proposed program and methods of operation
to determine compliance with rules jn Subchapters
41Sand41T.
(5) The Division of Social Services shall notify the
residential child-care facility in writing of the
licensure decision, conditions of the license and any
recommendations regarding the child care program.
(b) Licensure Procedures for Private Agency. Public Agency
and Public Residential Child Care Facilities.
(1 ) The following materials shall be submitted to the
Division of Social Services before a license may be
issued:
(A) License Application and Summary.
(B) Program policies and procedures stating
purpose, outlining admission criteria, as well as
defming areas of responsibilities and discharge
criteria.
(C) Description of the child care program and
evaluation method.
(D) Program fonns.
(E) Budget outlining anticipated costs and sources
of revenue for the first year of operation.
(F) Job descriptions.
(G) Staff resumes.
(H) Full and part-time staff work schedules.
(I) Medical examinations on full and part-time
direct care personnel and an\ relatives in the
home. The medical reports must be completed
by a licensed medical provider vsithin six
months prior to the license date.
(J) Fire and Building Safety Inspection Report (for
fewer than seven residents, seven to nine
residents, or 1 or more residents), completed
and approved b\ the county building inspector
or fire marshal.
(K) Inspection Form for Residential Care Facilities,
completed and approved by the county
sanitarian.
(L) Floor plan indicating room dimensions, usage
of each room, window and door locations and
sizes and method of heating.
(M) Written approval from the Division of Facility
Services for a design capacity of seven to nine
residents or 1 or more residents.
(2) Department of Health and Human Services staff shall
notify the residential child-care facility in vsriting of
the licensure decision, conditions of the license, and
any recommendations regarding the child care
program.
(c) Licensure Procedures Following First Year of Operation.
( 1) Prior to the license expiration date, the Division of
Social Services shall notify the residential child care
of the licensure renewal
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facility in writing
requirements.
The following materials shall be submitted to the
Division of Social Services before a license for a
residential child care facility can be renewed:
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(A) License Application and Summary.
(B) Governing board list, with addresses,
occupations and classes on the board, officers
and terms of office, if applicable.
(C) Budget outlining anticipated costs and sources
of revenue of tlie next operating year, with
estimation of daily cost of care 251 child for
past year
(D) Annual Information Report on Children.
(E) Biennial medical reports on full and part-time
direct care personnel staff and any relatives in
the facility. These physicals must be
completed by a licensed medical provider
(F) Health Questionnaire on tfie year when the
physical examination is not required.
(G) Fire and Building Safety Inspection Report (for
fewer than seven residents, seven to nine
residents, or 10 or more residents), completed
and approved by the county building inspector
or fire marshal.
(H) Inspection Form for Residential Care Facilities.
completed and approved by the county
sanitarian.
(1) Updated or revised materials to include, but not
limited to. policies, procedures, forris. or
amendments to Bylaws or Articles.
(J) Independent annual financial audit, if a private
residential child care facility.
With the exception of residential child care facilities
which are accredited by the Council on Accreditation,
the Division of Social Services shall annually conduct
onsite visits to private residential child-care facilities
and conduct desk revieyvs of the licensure materials of
a private agency, public agency or public residential
child care facilities to determine if minimum licensure
standards for residential child care facilities coi'iinue
to be met.
For residential child care facilities which are
accredited by the Council on Accreditation, the
Division of Social Services shall conduct onsite visits
to these residential child care facilities every other
year in accordance yvith the agreement between the
Division of Social Services and tlie Council on
Accreditation.
Authority G.S. 13ID-10.5: I43B-I53.
SECTION .0300 - ORGANIZATION AND
ADMINISTRATION
.0301 GOVERNANCE
(a) Charter: When a private residential child care facility
operates under a charter of incorporation, the charter shall be
filed with the Department of the Secretary of State. The charter
shall have a statement of purpose which describes the
geographic area to be served, kinds of children to be admitted,
and the range ot" services to be provided, an official copy of
which shall be submitted to the Division of Social Services.
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NORTH CAROLINA REGISTER
December I, 1998
889
PROPOSED RULES
(b) Governing Bodv: A private residential child care facility
shall have a governing bod\ which exercises authority over and
has responsibility for its operation, policies and practices.
(c) The governing bod\ shall be one of the following:
( 1) a board of directors in the case of a non-profit or for-
profit corporation: or
(2) commissioners or appointed officials of a
go\emmental unit: or
(3) a proprietor in case of a sole proprietorship: or
(4) partners in case of a partnership.
(d) In the case of a non-profit or for-profit corporations, the
governing bod\ shall:
( 1 ) be composed of no fewer than six members to include
men and women with varying abilities, experience,
and cultural backgrounds:
(2) pro\ide for a s\stem of rotation for board members,
for limitation to the number of consecutive terms a
member ma\ serve:
(3) establish standing committees:
(4) pro\ ide orientation for new members: and
(5) meet at least twice annualK.
(e) The executive committee shall meet at least quarterly with
a quorum present.
Authority G.S. 13! 0-1(15: 143B-I53.
.0302 RESPONSIBILITIES OF THE GOVERNING
BODY
The goy eming bod\ shall:
(1) adopt administrati\e. personnel, and program policies
which are re\ iewed at least e\ er\ t\\ o \ears:
rey iew and appro\ e a budget prior to the beginning of
the fiscal \ear:
establish and periodically review policies on
fundraising and in\estment management and obtain
professional assistance and consultation as needed:
annualK review and formal K accept the financial
audit:
emplo\ a chief executive officer (director. executi\e
director, president, superintendent) and delegate
authorin to that person to employ and dismiss staff
implement board policies, and manage da\-to-da\
operation of the facilit\:
permit the chief executi\e officer or designee to
attend aU meetings of the go\eming bod\ and
committees with the exception of those held for the
purpose of re\iewing his performance, status, or
compensation:
annualK e\aluate and document the chief executi\e
officer's performance through specific criteria and
obiecti\es:
initiate and re\iew an annual evaluation of services
and direct needed changes based on the e\ aluation:
annually review facilit\ needs related to risk
management: and
maintain a long range plan and review annualK.
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.0303 FINANCES
(a) Fiscal Management: The chief executive officer shall:
( 1) implement sound financial practices in order toA
prepare and periodicalK re\ iew the budget, and to be^
accountable to the communit\ : and
(2) report to the governing body at least quarteriy or more
frequently, as requested, on present financial status
and anticipated problems.
(b) The residential child care facilit\- shall:
( 1 ) have a plan of financin g which assures sufficient
01
funds to enable it to carry out its defined purposes and
provide proper care and services for children:
develop adequate resources and manage them
prudently in order to obtain the revenues that support
its programs and prevent the interruption of needed
care and services to clients:
have a written budget specifying income and
expenditures which sery es as the plan for management
of its financial resources for the program y ear: and
annualK anaKze the comprehensive unit cost of
providing each service to monitor trends, reflect
current experience, use in contracting, billing, and
establishing a fee schedule, jf a fee schedule is
utilized.
tc} Audit:
(1) An independi 'nt accountant approved by the
governing bodv "t by the appropriate governmental
auditing authority s hall perform an audit of the
residential child care facilit\"s financial statements
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annually.
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The residential child care facilit\ shall submit a copy
of the annual audit to the Division of Social Services.
AuthormG.S. 131D-10.5: 143B-153.
.0304 INTERNAL OPERATING PROCEDURES
The residential child care facility shall adopt and annualK
review operating procedures for each administrative and
program area in order to effectivelv cam, out its policies and
shall make the internal operating procedures available to clients,
families, and legal custodians.
AiithorinG.S. 131D-I0.5: I43B-153.
.0305 RECORDKEEPING AND REPORTING
(a) The residential child care facility's policy
confidentiality shall:
on
Authorir\-G.S. 13ID-I0.5: 1438-153.
( 1 ) identifA the indiv iduals with access to or control over
confidential information:
(2) specif\ that persons who have access to records be
limited to die client, the parent or legal custodian
when the client is a minor, and other authorized
personnel. These persons shall include auditing,
licensing, or accrediting personnel or those persons
for whom the agencv has obtained a signed consent
for release of confidential information: and
(3) require that when client information is disclosed a
signed consent for release of information is obtained
I
890
^ORTH CAROLI.\A REGISTER
December ], 1998
13:11
PROPOSED RULES
on a consent for release form.
£bj The residential child care facility shall:
. (JJ provide a secure place for the storage of records with
I confidential information;
(2) inform employees, students, volunteers and other
individuals with access to confidential information of
the provisions of this Rule;
(3) ensure that, upon employment and whenever revisions
are made, staff sign a compliance statement which
indicates an understanding of the requirements of
confidentiality;
(4) unless harmful, permit children to review their case
records in the presence of facility personnel on the
facility premises, in a manner that protects the
confidentiality of other family members or other
individuals referenced in the record;
(5) in cases of perceived harm to the child, document in
writing any refusals to share information with the
child, parent or legal custodian;
(6) maintain a confidential case record for each child;
(7) maintain confidential personnel records for all
employees;
(8) maintain confidential records for all volunteers; and
(9) destroy in office a closed record in which a child has
been discharged for % period of three \'ears or destro\
in office a record thiee vears after a child has reached
age 18. unless included in a federal fiscal or program
audit that is unresolved, then destroy In office when
released from all audits.
Authority G.S. I31D-I0.5: I43B-153.
.0306 CLIENT RIGHTS
(a) The residential child care facilit\' shall develop and
implement policies and procedures to protect the individual
rights and dignity of children and families.
(b) The residential child care facility shall have a client's and
families' rights policN' which includes that each child has the
right to:
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privacN;
be provided adequate food, clothing, and shelter;
have access to family time and have telephone
conversations with famiK members, when not
contraindicated in the child's intervention plan or
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individualized service plan;
have personal property and a space for storage;
express opinions on issues concerning the child's care
or treatment;
receive care in a manner that recognizes variations in
cultural values and traditions;
be free from coercion with regard to religious
decisions. The facility shall have a process to assure
that, whenever practical, the wishes of the parents
with regard to a child's religious participation are
ascertained and followed;
not be identified in connection with publicity for the
facility which shall bring the child or tlie child's
famiK embarrassment; and
(9) not be forced to acknowledge in public dependency
on or gratitude to the facility.
(c) The residential child care facility shall have a policy
which prohibits direct involvement by a child in funds
solicitation for the facility.
(d) The residential child care facility shall have a policy
which prohibits the child's participation in any activities
involving audio or visual recording and research without the
voluntary signed, time-limited consent of the child and the
child's legal custodian.
Authority G.S. 131D-10.5: 143B-153.
.0307 GRIEVANCE PROCEDURES
(a) The residential child care facility shall provide to each
child and parents or legal custodian, upon admission:
( I ) a written description of policies and procedures which
the child and his parent(s) or legal custodian follow to
register complaints;
information about client rights;
the process for appealing a decision or action of the
facilirs ; and
the process for resolution of a complaint.
(b) Upon resolution of a grievance, the residential child care
facility' shall maintain a copy of the complaint and the resolution
in the case record.
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Authority C.S. I31D-10.5: 143B-153.
SECTION .0400 - PERSONNEL
.0401 PERSONNEL POLICIES
The residential child care facilirs shall have written personnel
policies and procedures which shall be provided to all
employees. Revisions of all personnel policies shall be rn
writing and provided to employees on a timely basis. Policies
and procedures shall address the following areas:
(1 ) Recruitment and hiring;
(2) Compensation structure and benefits;
(3) Orientation plan for new employees;
(4) Training and staff development;
(5) Regulations regarding use of equipment and assets;
(6) Notification of work schedule;
(7) Description of leave policy, including time-off duty
for disciplinary actions for direct care staff;
(8) Termination;
(9) Operational procedures regarding grievances which
provide the opportunity and means to lodge
complaints and appeals;
(10) Description of the process for revision of personnel
policies;
(11) Annual evaluations;
(12) Staff quarters and searches; and
( 13) Disciplinary measures.
Authorin-G.S. 131D-I0.5: 143B-153.
.0402
PERSONNEL DEPLOYMENT
13:11
NORTH CAROLINA REGISTER
December 1, 1998
891
PROPOSED RULES
(a) The residential child care faciUtv shall ensure that the
deplosment of personnel supports the stated mission of the
facilit\.
(b) There shall be a written job description for each position,
which includes duties, responsibilities, qualifications, and to
vshom the position is responsible. Job descriptions shall be
consistent with duties being performed.
(c) The residential child care facilin shall have procedures for
annual evaluation of the work performance of each employee
which provides for employee participation in the process.
shall have an
driver's license appropriate for the tv'pe of vehicle used.
Author in- G.S. BID- 10. 5: 1438- 153.
I
.0405 PERSONNEL POSITIONS
(a) Director. There shall be a full time director for an agenc\
w ith one or more facilities licensed for 20 or more children. At
a minimum, there shall be a part-time director for an agency with
one or more facilities licensed for less than 20 children.
(b) A director shall have management skills that enable the
effective utilization of the residential child care facility's human
(d) The residential child care facilit\
organizational plan which delineates the number of staff and and financial resources and the coordination of the facilit^'s
services w ith those provided by other community resources.
levels of superv isors managers, taking into account the
comple\it\ and size of the workload ot~ each staff The plan
must demonstrate supervision ot' staff in accordance with the
rules in Subchapters 4 1 S and 4 1 T.
.Aulhorin-G.S. 131D-I0.5: 143B-153.
.0403 PERSONNEL FILE
The residential child care facility shall maintain a personnel
file for each employee which includes the follovsing:
( 1) The application for employment including the record
of previous employment:
Documentation of at least two references and a
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criminal record check:
Medical information required for each " aff by
licensure standards:
Signed contldentialin agreement if applicable:
Position specific credentials certifications:
Record of completed orientation and ongoing staff
development:
Annual performance evaluations:
Documentation of disciplinary actions:
Documentation of grievances filed:
Employee's starting and termination dates;
Reason for termination:
Signed and dated release or notation of employ ee's
waiver of release for future employment references:
and
Documentation of a driving record check, if
applicable.
.Authorin- G.S. 131D-10.5: 143B-153.
.0404 PERSONNEL QUALIFICATIONS
(a) Criminal Records Check. Applicants, employees or
volunteers who have a historv of criminal convictions that would
adv ersely affect their capacity and ability to prov ide care, safet^
and securin for the children in residence shall not be permitted
to provide direct child care. A signed statement shall be
obtained attesting that the applicant, employee or volunteer does
not have such a record prior to providing direct child care.
(b) Child .Abuse. Employees or volunteers who have a
criminal conviction of' child abuse shall not be permitted any
contact with children.
(c) Driver's License. Employees or volunteers driving a
residential child care facility vehicle must possess a valid
(c) The director shall:
( 1) Be responsible for the general management and
administration of the residential child care facility in
accordance with licensing requirements and policies
established by the governing board:
Interpret licensing standards, established child care
standards and the residential child care facility's
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sery ices to the board, the facility's constituency, other
human serv ice agencies and the public:
Initiate and carry out the program of residential child
care as approved by tfie governing board:
Report to the governing board on all phases of
operation at least quarterly:
Delegate authorit\ and responsibility to qualified staff
to ensure the maintenance of the residential child care
facilit\'s operations:
Establish and oversee fiscal practices, present the
annual operating budget and quarterly reports to the
governing board:
Evaluate, at least annually, the training needs of the
staff: plan and implement staff training and
I
consultation to address identified needs:
Employ and discharge staff and meet on a regular
basis with administrative and management staff to
review, discuss and formulate policies and
procedures: and
Supervise all staff responsible to the director's
position and conduct an annual written evaluation
which shall contain both a review of job
responsibilities and goals for future job performance.
(d) Clerical. Maintenance and Other Support Personnel. The
residential child care facility shall employ or contract qualified
personnel to perform all clerical, support and maintenance
duties.
(e) Business and Financial Personnel. The residential child
care facility shall employ or contract personnel to perform all
business, accounting and financial functions.
(f) Direct Service Personnel.
( 1 ) Direct serv ice personnel, hired after the effective date
of these Rules, shall:
(A) Have education or experience to meet the
responsibilities of the job:
(B) Have a physical examination by a licensed
medical prov ider prior to assuming the position
and biennially thereafter. This examination
I
892
NORTH CAROLINA REGISTER
December ]. J 998
13:11
PROPOSED RULES
12}
shall include a TB test, unless the medical
provider advises against this test. This
examination shall include a statement
indicating the presence of any communicable
disease which may pose a significant risk of
transmission in the residential child care
facility. After the initial examination, the cost
of the physical examinations as required by
licensure shall be at the expense of the facility.
Standards for direct service personnel jn the living
unit:
There shall be at least one direct service
systems and relationships, and child sexual
abuse;
(C) Staff employed as social workers shall be
familiar with community resources for children
and their families in addition to the agency's in-
care services: and
(D) Any duties other than social work duties
assigned to staff employed as social workers
shall be specified in writing and assigned jn
accordance with the residential child care
program.
m
m
personnel assigned to every 10 children six Authority G.S. I3ID-10.5: N3B-I53.
years of age and older and at least one direct
care personnel assigned for every tlve children
younger than six years of age. Supervisor.
personnel within voice range shall be allowed
to be included in the child to staff ratio:
The residential child care facility shall ensure
that direct services personnel receive
supervision and training in the areas of but not
limited to, first aid and CPR. child
development. permanency planning
methodolog>. group management, preferred
discipline techniques, family' relations' lips.
human sexuality; health care and socialization,
leisure time and recreation. In addition, the
residential child care facility shall provide
training to direct service personnel jn
accordance with the needs of the client
population, including but not limited to.
training in child sexual abuse:
(C) The child care facility shall ensure that direct be
service personnel recei\e supervision m food
preparation and nutrition when meals are
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prepared in the living unit: and
(D) An\ duties other than direct services duties
assigned to direct service personnel shall be
specified in \\riting and assigned in accordance
with the residential child care program.
Standards for supervisor.' personnel:
(A) There shall be at least one supervisor for every
15 direct servic e personnel.
(B) Supervisor, staff shall be selected on the basis
of the knowledge, experience and competence
required to manage direct service personnel.
Standards for other direct service personnel: For
residential child care facilities that emploN staff as
social workers, the following applies:
(A) There shall be at least one social worker
assigned for every 16 children and, for every
six social workers, at least one supervisor shall
be assigned:
(B) The residential child care facility shall ensure
that staff employed as social workers receive
supervision and training in the areas of but not
limited to. child development, permanency
planning methodology, group dynamics. famiK
.0406 AUXILIARY SERVICES PERSONNEL
(a) The residential child care facility shall have available
auxiliary services provided by contract to supplement the
program of care. These service providers may include, but are
not limited to. consultants, contracted services for the program
of care, maintenance of the facility, and interns or students.
(b) Consultants shall be practitioners who are recognized by
applicable degrees, organizations and appropriate licensing
boards. If the residential child care facility contracts with
consultants, the facility shall document the consultants'
credentials.
(c) Paid consultants shall not be in conflict of interest with the
residential child care facility in fact or appearance. They shall
have no direct or indirect financial interest jn the assets,
transactions or services of the agencv
(d) Interns or students shall meet all of the requirements
stipulated for the position in which they are serving with the
exception of completed education and experience. There shall
be a yvritten agreement between the placing educational
institution and the residential child care facility specifying
responsibilities and supervision of the intern or student.
Authority G.S. 131D-10.5: N3B-153.
.0407 VOLUNTEERS
The residential child care facility shall have a written
description of the specific responsibilities and the provision of
supervision of aj] volunteers. Volunteers shall:
(1) Meet the personnel qualifications specified in 10
NC AC 4 IS. 0404.
Meet the qualifications and implement the duties of
the position as specified.
Be provided sufficient orientation, training and
supervision to enable knowledge of the facility's
purpose and services, the needs of children and
families served and the role and responsibilities to be
assumed.
Provide two references relevant to the role and
(4j
(5J
responsibilities to be assumed.
Agree ]n writing to abide by the confidentiality
policies of the agency.
Authority' G.S. I3ID-1().5: N3B-I53.
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NORTH CAROLINA REGISTER
December 1, 1998
893
PROPOSED RULES
SECTION .0500 - SERVICE PLANNING
.0501 ADMISSION POLICIES
(a) The residential child care facility shall have written
admission policies which clearly define and describe the age, sex
and type of child to be served.
(b) The residential child care facility shall limit admissions to
children who need out of home care apart from their families and
for whom the facility is qualified by staff, program, buildings
and services to give appropriate care.
(c) in the case of private referrals, the residential child care
facilit\ shall:
01
document reasonable efforts to prevent placement:
establish that the facility' provides the least restrictive
settin g for the child;
(3) develop and implement a case plan with the child's
famiK for reunification, when possible.
(dj In the case of out ot" state referrals, the residential child
care facilin shall not admit a child without Interstate Compact
on the Placement ot" Children approval.
(e) The residential child care faciliu shall provide the
applicant a handbook of admission procedures which includes:
( 1 ) a description of the admissions process:
(2) the application: includin g an\ fees for ser\ ices:
(3) the preplacement acti\ ities for the child, his parent(s).
guardian, or legal custodian: and
(4) an explanation of the group assigi ^ent method.
(f) The residential child care facilits shall maintain a referral
log which includes:
( 1) child's name, age, sex, and race;
(2) legal custodian; and
(3) disposition of admission.
Auihorin-G.S. 131D-I0.5: N3B-I53.
.0502 ADMISSION PROCEDURES
(a) The residential child care facility shall establish and
implement an intake process which includes:
( 1 ) receipt ot" an application and a face-to-face interview
with the child, legal custodian, and familv v\henever
possible, with a specific effort to help the child
understand the purpose ot" and need for out of home
care and residential services;
(2) an exchange of information about the facilit^'s
program and the child's needs, and to provide written
information required in K) NCAC 4IS .0307(a) and
10 NCAC41S .0504(aK5).
(b) A v\ritten intake studv shall be completed for each child
accepted into residential care which includes:
( 1 ) circumstances that led to the need for placement, and
the child's understanding of the placement;
(2) assessment of family issues and justification that the
facility meets the needs of tlie child and familv;
(3) short term placement goals and long range permanent
plan, including the parentis ) legal custodian's
expectations;
(4) description of the child's family and significant others;
{2} description of the child's behavior;
(6) child specific information, including:
(A) medical history, including any current medical
problems; ^
(B) developmental history and current level of ™
functioning;
(C) educational history, if applicable; and
(D) the results of current psychological testing, if
applicable.
Authority G.S. 131D-I0.5: I43B-153.
.0503 ADMISSION AGREEMENT
(a) At admission, the residential child care facility' must
develop a written agreement between the parents or legal
custodian and the facility which specifies the services to be
provided by the facility and the responsibilities of the parents or
legal custodian which includes the following:
( 1 ) statement of consent for placement bv the parents or
legal custodian, vyith the date of admission:
(2) plan for providing admission information on the
child's care, developmental, educational, medical, and
psychological needs to tfie parentis ) or legal
custodian, the ft'equencv of serv ice plan reviews, and
receipt of program information required by J_0 NCAC
41S .0307(a) and 10 NCAC 41S .0504(a)(5);
(3) statement of facility responsibilit^ for vyorking wjth
the child's parents;
(4) statement related to the provision of religious training
and practices and consent to these bv the parents or
legal custodian;
(5) plan for family time;
(6) fees and plan for pavment of care;
(7) plan for discharge to include projected length of stay;
and
(8) statement of facility responsibility for aftercare
services.
(b) For youths J_8 vears of age and older residing in the
residential child care facility, the facilit^' shall obtain a voluntary
placement consent signed by the vouth which specifies the
conditions for continued residential care and services.
Aulhorit}-G.S. 13W-W.5: 143B-I53.
.0504 ORIENTATION
(a) The residential child care facility shall provide
infonnation and discuss the program policies governing the
residential care and services of children with the child's parents
or legal custodian and the child at or before admission, which
include:
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family time, mail, gifts, personal possessions, money.
and telephone calls and restrictions v\hich may be
imposed on these;
discipline and behavior management, including the
use of searches of children's rooms and possessions;
program of religious training and practices;
educational resources;
trips awav from the facility ;
use of volunteers or visiting families, if any;
4
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H94
NORTH CAROLINA REGISTER
December /, 1998
13:11
PROPOSED RULES
(7) physical restraint practices;
(8) client rights and grievance procedures; and
(9) daily and seasonal schedules.
(b) The residential child care facility shall obtain the case
plan from the count\' department of social services at or before
admission, when the county department of social services is the
legal custodian. In the case of a private placement, the facilit>'
shall combine the case plan and the individualized ser\'ice plan.
(c) The residential child care facility shall develop a v\ritten
individualized service plan for each child within 30 da\s of
admission. This plan shall be reviewed initialK within 60 da\ s.
the second review shall be within 90 days of the initial review
and the third and subsequent reviews shall be held ever\ six
months, inviting parents, the legal custodian, if different, the
child, as well as any individual or agenc\ designated as
providing service to participate.
(d) The individualized ser\ice plan shall be developed
utilizing information from an assessment of the child's and
family's needs and include goals based on normal developmental
tasks and needs. The goals and objectiyes shall be based on
identified issues, be behavioralK specific, time limited and
measurable and include staff assignments and specific strategies
to be taken to meet the goals in the follow ing areas:
(1) special interests and personal goals;
(2) intellectual, academic and vocational;
(3) ps\chological and emotional;
(4) physical;
(5) social and famiK relationships;
(6) cultural and spiritual; and
(7) basic living skills.
(e) A famih time plan shall be part of the individualized
service plan for each child.
(f) A written discharge plan shall be part of the individual
service plan for each child.
(g) Direct care staff shall be informed about the child's initial
individualized ser\'ice plan and shall participate or pro\ ide input
at the reviews as described in 10 NCAC 41$ .0504(c).
(h) A cop\' of the child's individualized service plan shall be
provided to the parent(s) or legal custodian. When appropriate.
the child's individualized plan shall be provided to the
individuals listed as providing service. An age appropriate
version of the individualized service plan shall be written and
pro\ ided to each child.
£ij The child's individualized ser\dce plan review shall
include:
(1) an evaluation of progress towards meeting identified
needs;
(2) any new needs identified since the child's
individualized service plan was de\eloped or last
reviewed and behavioralK -specific strategies to meet
these needs, including instructions to staff;
(3) an update ot' the estimated length of sta\ and
discharge plan; and
(4) signatures of the persons participating in the review.
Authority G.S. 1310-10.5: 143B-153.
.0505 DISCHARGE POLICIES AND PROCEDURES
(a) The residential child care facility shall have written
discharge policies that will establish the guidelines for
terminating the facility's residential care and services to the child
and famih to include the following:
( 1) opportunity for the parent(s) or legal custodian to be
informed and have opportunity' to discuss the decision
to discharge the child;
(2) designation of a timeframe for the child to be
discharged which allows sufficient time for the child
and facility to prepare for departure and for
arrangements to be made for the child's care;
(3) discharge of a child under 18 years of age only to the
legal custodian;
(4) completion of a summary within 30 days of discharge,
which includes the following:
(A) date and circumstances of discharge;
(B) name, address and telephone number of the
legal custodian to whom the child shall be
discharged;
(C) ser\'ices provided and evaluation;
(D) recommendations for needed services; and
(E) provision of or referral for after care services.
(b) Upon a child's departure, the residential child care facility'
shall provide a copy of the child's educational, medical and
dental records, clinval materials (as available) and other related
miaterials. as appropriate, to the parent(s) or legal custodian.
(c) Upon a child's departure, the residential child care facility
shall send aH persona! clothing and belongings with the child .
Authority- G.S. 1 31 D- 10.5: 143B-153.
.0506 CLIENT RECORDS
(a) The residential child care facility shall maintain a client
record for each child which contains the following:
( 1 ) documentation of placement authority by legal
custodian;
(2) completed application for services;
(3) written placement consent and agreement;
(4) intake study and related documents;
(5) documentation that verifies the child's birth;
(6) pre-admission physical examinations;
(7) immunization records:
(8) inter\ention plan and reviews;
(9) wrinen ser\ ice plan and review;
( 10) documentation of all family time, including duration,
location both onsite and off-site, and frequency, as
ysell as anv rationale for restrictions on family
invoKement;
(11) consents for release of infonnation;
( 12) consent for emergency medical treatment;
( 13) consents for field trips;
( 14) ongoing record of medical and dental care;
( 1.'') documentation of medical insurance;
( 16) phy sical restraint and incident reports; and
(17) discharge summary.
(b) The residential child care facilits shall maintain client
records for the purpose of:
( 1) protecting the legal ri ghts of the child, the parents and
13:11
NORTH CAROLINA REGISTER
December 1, 1998
895
PROPOSED RULES
legal custodian, and the facility;
(2) documenting service provision to the child and famih.
including an evaluation of effectiveness of services
provided: and
(3) providing a source of information about individual
children, as well as information for the facility m
planning its program of care and services.
(c) Staff entries jn client records shall be dated and either
initialed or signed.
Authority G.S. ]31D-U).5: 143B-153.
SECTION .0600 - SERVICE DELIVERY
.0601 PROGRAM POLICIES AND PRACTICES
(a) The residential child care facility shall have a \sritten
program description and written program policies and
procedures.
(b) The residential child care facility shall design a program
to pro\ ide opportunities for positi\e learning experiences and to
meet the needs of children and families.
(c) The residential child care facility shall pro\ide a daih
schedule of activities to meet the needs of children, which allo\ss
time for pri\ac\ and indi\idual pursuits.
(d) TTie residential child care facility shall consider each child
an unique individual, proyidm ^ opportunities which take into
consideration each child's ethn. and cultural backgrounds.
(e) The residential child care facility shall give each child
individual attention and nurturing.
tf) The residential child care facility shall provide each child
with the opportunity to have interaction with adults and children
of both se.xes.
(g) The residential child care facility shall instruct and
super\ise each child in personal care, hv giene. and grooming
appropriate for the age, sex, race and developmental capacity of
the child.
(h) The residential child care facility shall ensure that each
child has normal contacts in the community in which the facility
is located through participation in e\ents such as. but not limited
to. school functions, recreational facilities, church \outh groups,
part-time paid emplo\ment. community ser\ice and \olunteer
work. An exception shall be made when communit\ contact js
inconsistent with the program design.
(i) The residential child care facility shall encourage each
child to form friendships with children outside the facility, to
visit friends in the community, and have their friends \isit them
at the facility. An exception shall be made when contact with
friends is inconsistent with the program design or ser\ ice plan.
(i) The residential child care facility shall provide residents
with access to telephones to maintain contact with friends and
family members.
(k) The residential child care facility shall maintain a log of
children jn residence which includes:
( 1 ) child's name, age, sex and race:
(2) name of legal custodian: and
(3) dates of admission and discharge.
Auihorm-G.S. 131D-10.5: 143B-I53.
i
.0602 FAMILY INVOLVEMENT
(a) The residential child care facility shall have written
policies and procedures regarding family involvement whic
support and encourage families to participate jn planning!
communication and family time.
(b) Family involvement shall include:
( 1 ) Planning. The facility shall afford family members
opportunities to participate in planning events for
their child and themselves.
(2) Communication. The fa cility shall allow children to
send and receive unopened mail and to have telephone
conversations with parent(s) or other family members.
An exception shall be made if it is determined that the
child's best interest, individualized service plan or a
court order necessitates restrictions.
(3) Family Time. The facility shall afford children and
family members opportunities for familv time, based
on the purpose of placement and jn support of the
child's goals.
Authority G.S. 131D-10.5: 143B-153.
.0603 VISITING RESOURCES
(a) The residential child care facility shall have written
policies and procedures regarding visiting resources, which
include that:
be
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no financial support shall be paid to the visiting
resource:
written consent shall be obtained from each child and
each legal custodian prior to a visit:
resources, support and supervision shall be provided
to ensure the needs of the child are met during the
visit:
responsibiliu for the child during visits with the
visiting resource shall be retained b\ the facilirv:
the child's interests, needs, and welfare as identifie d
in the child's individualized service plan shall be
assessed by the facility in determining a visiting
resource:
<
prior to an overnight \ isit. \ isits betw een the \ isiting
resource and the child shall be arranged to occur both
at the agency and at the home of the visiting resource:
and
orientation to foster care, training on the rspes of
children served and information on the child for
whom they will be providing care shall be provided,
(b) The residential child care facility shall conduct an initial
assessment of each visiting resource and subsequent annual
assessments, which include:
( 1 ) a home \ isit to ensure the building is safe and in good
repair:
a completed application:
a brief social history, including an evaluation of
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parenting skills and abilities:
(4) an a greement signed beuveen the v isiting resource and
the facility, which specitles the responsibilities of
each:
(5) three references affirming the visiting resource's
(
896
NORTH CAROLINA REGISTER
December I, 1998
13:11
PROPOSED RULES
\
parenting skills and abilities;
(6) local criminal record checks on adult members
residing in the home; and
(7) documentation that the visiting resource's residence is
located within a 50 mile radius of the facility or of the
r eason the visiting resource is beyond the 50 mile
radius.
Authorin-G.S. 131D-W.5: N3B-153.
.0604 HEALTH SERVICES
Medical Program.
(1) Medical Requirements for Admission.
(a) No child shall be accepted into a residential
child care facility without having had a
physical examination within six months prior
to admission, which shall include a signed
statement by a licensed medical provider
specifying the child's medical condition and
medications prescribed and indicating the
presence of an\ communicable disease which
may pose a significant risk of transmission in
the facility. If a child is in the custodx of a
department of social services, is already
scheduled to have and is having a physical
completed annualK. and is entering a facility,
the schedule of annual physicals shall not be
changed. A cop> ot' tfie most recent physical
shall be obtained from the responsible
department of social services by thte facility.
(b) A child admitted to a residential child care
facility shall be immunized against diphtheria,
tetanus, whooping cough, poliomyelitis, red
measles (rubeola), rubella, mumps, and any
other disease as required by 15A NCAC 19A
.0400. as age appropriate, prior to admission.
The facility shall obtain documentation of
immunization. A copy of 15A NCAC 19A
.0400 may be obtained from the Office of
Administrative Hearings. PO Dra\\er 27447.
Raleigh. North Carolina. (919) 733-2678. at a
cost of two dollars and fifty cents ($2.50) at the
time of adoption of this Rule.
(2) Routine Medical Care.
(a) Arrangements shall be made \\ ith one or more
licensed medical providers or medical clinics
and with at least one dentist for the care of the
children.
(b) Each child shall have a physical examination at
least once a year and more often as needed. A
child shall not be allowed to participate in
activities that pose unreasonable risk to his
health. Any illness, disease or medical
condition of a child shall be identified and
treated promptly through proper medical care.
Children shall have a psychiatric or
psychological examination or both when
indicated and treatment when indicated.
(c) Children must have had a dental examination,
by a licensed dentist, within one year prior to
admission or arrangements must be made for
an exam within six weeks after admission and
annually thereafter. The facility shall
document dental services in the child's record.
(d) The facility shall instruct direct child care staff
on medical care which may be given by them
without specific orders fi'om a licensed medical
provider. The facility shall instruct direct child
care staff in ttie procedures for obtaining
medical care beyond home health care and
handling medical emergencies.
(3) Hospital Care. The residential child care facility shall
arrange with a hospital for the admission of children
from the facility in tlie event of serious illness or
emergency.
{4} First Aid.
(a) The residential child care facility shall obtain a
mouthpiece, utilize universal precautions and
other precautionary equipment for
administering CPR for the children in
residence.
(b) The residential child care facility shall ensure
that first aid kits are available for immediate
use in each living unit, recreation area and in
vehicles used to transport children.
15} On-Site Health Care.
(a) The residential child care facility shall not
engage in any home health care practices that
conflict with the control measures for
communicable diseases in 15A NCAC 19A
■0200. A copy of 15A NCAC 19A .0200 may
be obtained from the Office of Administrative
Hearings. PO Drawer 27447. Raleigh. North
Carolina. (919) 733-2678. at a cost of two
dollars and fifty cents (S2.50) at the time of
adoption of this Rule.
(b) Direct child care staff shall be able to
recognize common symptoms of illnesses in
children and be alert to any infectious
condition and take proper precautions to
prexent the spread of such a condition.
(c) Direct child care staff shall be able to provide
home health care. A thermometer shall be kept
available for use. When there is risk of
transmission, arrangements shall be made for
isolation and attendant care of a child with a
communicable disease.
(d) Prescription medications shall be administered
only when approved by a licensed medical
provider.
(e) All medicines, prescription and non
prescription, shall be stored in a locked cabinet,
closet or box not accessible to children.
(6) Medical Records. Each child shall have a medical
record which contains:
(a) Written consent from the legal custodian or
13:11
NORTH CAROLINA REGISTER
December 7, 199)^
897
PROPOSED RULES
parent authorizing routine medical and dental
treatment and emergenc\ treatment.
(b) A medication log whicii documents all
medications dispensed.
(c) The preadmission ph\sical examination-
immunization records, and records of ongoing
medical and dental care and examinations
received, including but not limited to
hospitalizations, significant illnesses or
accidents and treatment pro\ ided.
AurhonnG.S. 131D-W.5: 143B-153.
.0605 ROL TINE ASPECTS OF HEALTH,
PERSONAL HYGIENE, AND SAFETY
(a) Infection Control. Staff shall receive training in and
routineK appK general infection control measures and
procedures which shall include, but are not limited to. Lini\ersal
Precautions specified b\ the Centers on Disease Control. U.S.
Department of Health and Human Services. Public Health
Ser\ices. Atlanta. Georgia. A cop\ of general infection control
procedures ma\ be obtained from National Technical
Infonnation Services. 5285 Part Ro\al Road. Springfield.
Virginia. 22161. (703) 487-4650. at a cost of se\en dollars
(S7.00) at the time of the adoption of this Rule.
(b) Sleep. Each child in a residential child care facility shall
ha\e enough sleep f hjs age at regular and reasonable hours
and under conditions conduci\e to rest.
(c) H\giene. Children shall be taught and helped to keep
themseKes clean. Thex shall recei\e training in aU aspects of
personal h\ giene.
(d) Toilet Articles.
(1) Each child shall have his own toothbrush, comb-
towel and wash cloth and his own separate place for
keeping these personal articles.
Towels, wash cloths, and bed linens shall be changed
121
weekly or more often as required by good h\ giene.
AuthorinG.S. 131D-10.5: 143B-I53.
.0606 NUTRITION
(a) Meals ser\ed must meet nutritional requirements as
advised by the National Research Council (Recommended Daih
Dietan .-Xllowances).
(b) An\ modified food needs of an individual child shall be
provided under the direction of a licensed medical provider or a
registered dietitian or nutritionist.
(c) Menus shall be planned by or in consultation with a
registered nutritionist or dietitian at least once per \ear The
facility shall obtain documentation of consultation.
(d) Staff who eat with children shall be served the same food
except for tea and coffee. An exception shall be made if
differences in age or special dietary needs are factors.
AuthorinG.S. 131D-10.5: I43B-153.
.0607 HEALTH EDLC.^TION
The residential child care facilirv shall develop and implement
a plan for the provision of health education to include but not be
limited to health, human sexuality, substance abuse, smoking.
and prevention of sexualK transmitted diseases. The healtl^
education plan shall be documented. '
AuihorlnG.S. 131D-W.5: 143B-153.
.0608 EDUCATIONAL AND VOCATIONAL
SERVICES
(a) The residential child care facility shall ensure that each
child of school age is provided an education in accordance with
the public school laws or the nonpublic school laws of North
Carolina.
(b) The residential child care facility shall make provisions
for remedial educational assistance as indicated bv the needs of
the children.
(c) The residential child care facility shall hav e a policv about
serving children who are temporarily or permanently not
attending school.
(d) The residential child care facility shall have a written
policv for providing vocational and life skills education if
applicable to the population sery ed.
Authorin- G.S. 131D-10.5: 143B-153.
.0609 RECREATION AND LEISURE ACTIVITIES
(a) The residential child care facility shall develop a written
schedule of planned recreational, leisure, or physical exercise
activities with input from both staff and children which meets
their dev elopmental needs, which shall be posted in each cottage.
(b) The residential child care facility shall provide a variety
of indoor and outdoor, individual and group recreational
opportunities, with suitable space and competent adult
supervision, appropriate to the age, interests, and needs of each
child.
(c) The residential child care facility shall provide
recreational opportunities for children to play with children of
both genders. An exception shall be made when the program
cares for only one gender.
(d) The residential child care facilin shall have an
individualized plan for anv child who has special recreational
needs.
Authorin- G.S. 131D-10.5: 143B-153.
.0610 RELIGION AND SPIRITUAL DEVELOPMENT
(a) The residential child care facility shall have vsritten
policies and procedures on religious training and practices and
shall p rovide these policies to children and their parents or legal
custodians prior to admission.
(b) The residential child care facility shall develop a plan for
each child to meet the child's spiritual needs vshich takes into
account the parent's or legal custodian's position regarding a
child's religious participation.
(c) The residential child care facility shall have written
policies and procedures which include that each child is free
from coercion with regard to religious decisions.
I
I
898
\ORTH C.4ROLI.\A REGISTER
December 1. 1998
13:11
PROPOSED RULES
Aitlhorit}' G.S. 131D-10.5: 143B-153.
.0611 PERSONAL POSSESSIONS AND MONEY
(a) The residential child care facility shall allow each child to
bring and acquire personal belongings, but shall retain the option
to supervise or limit the use of these items while the child is in
care.
(b) The residential child care facility shall ensure that each
child has clean, well-fitting, attractive, seasonal clothing
appropriate to the age, sex and individual needs of each child.
(c) The residential child care facility shall ensure that each
child has individual items necessary for personal hygiene and
grooming.
(d) The residential child care facility shall provide
opportunities for each child to learn the value and use of money.
(e) The residential child care facility shall provide security
measures for each child's money separate fi'om the agency's
financial accounts.
Authority- G.S. 131D-10.5: 143B-153.
.0612 WORK
(a) The residential child care facility shall provide
opportunities for each child to learn the value of work, and the
development of good work habits.
(b) The residential child care facility shall compK \\'\x\\ the
provisions of the NC Wage and Hour Act concerning age.
abilities, hours of labor and hazardous occupations in the
assignment of work to children.
(c) The residennal child facility shall not substitute children
for employed staff in assigning work.
(d) The residential child care facility shall not require children
to be solely responsible for an\' major phase of operation or
maintenance of the home such as cooking, laundering,
housekeeping, fanning, or repair work.
(e) The residential child care facility shall not require a child
to work for the purpose of paving the facility for his cost of care
except when an older child moving toward self-support enters
into a contract with the facilits in which he is paid for his work
and assumes a gradual degree of responsibilits- for his own
needs.
(f) The residential child care facilits' shall provide children
who are on work assignments with adult supervision.
(g) The residential child care facilits' shall ensure that
children's work assignments do not interfere with school,
recreation, study period, adequate sleep, community contacts and
family time.
Authority G.S. 131D-10.5: 143B-153.
.0613 DISCIPLINEAND BEHAVIOR MANAGEMENT
(a) The residential child care facility shall haye written
policies and procedures on discipline and behavior management
which shall be provided to and discussed with all children.
parents or legal custodians, which include:
(1) Proactive means for interacting with and teaching
children ^hich emphasize praise and encouragement
for exhibiting self control and desired behavior: and
(2) Methods for protecting children and others when a
child is out of control.
(b) The residential child care facility shall implement
standards for behavior which are reasonable and
developmentally appropriate.
(c) The residential child care facility shall not engage in
discipline or behavior management which includes:
(1) Corporal/physical punishment;
(2) Cruel, severe, or humiliating actions;
(3) Discipline of one child by another child;
(4) Denial of food, sleep, clothing or shelter;
(5) Denial of family contact, including family time,
telephone or mail contacts with family;
(6) Assignment of extremely strenuous exercise or work;
(7) Verbal abuse or ridicule;
(8) Chemical, mechanical, or physical restraints except as
specified in 10 NCAC 41S .0614(e); or
(9) Locked rooms.
(d) The residential child care facility shall prohibit isolation
as a behavioral control measure except when the facility
provides it in an unlocked room within hearing distance of a
staff member and the length of time alone is appropriate to the
child's age and stages of development.
(e) If physical restraints are used, the residential child care
facility' shall have written policies and procedures on the types
of and use of ph\sical restraints which shall be discussed with
each child, parents or legal custodian prior to or upon admission.
The facility shall train and supervise staff m the safe use of
physical restraint. The facility shall documents each incident of
ph\sical restraint on an incident report which shall be filed in the
child's record. The facility shall assign supervisory staff to
revieyv and initial each incident report within 24 hours of the
physical restraint to evaluate that the correct steps were followed
by the direct child care staff who applied the physical restraint.
Authority G.S 131D-10.5: 1438-153.
.0614 INCIDENT REPORTS
(a) The residential child care facility shall have written
policies and procedures for reporting critical incidents.
(b) The residential child care facility shall document critical
incidents, including accidents or injuries to the child, acts of
physical aggression by children, use of physical restraints by
staff, and children who run away from the facility, which
include:
Name of child or children inyolyed;
ill
(2j
01
01
16]
01
18J
Date and time of incident;
Brief description of incident;
Action taken b\ staff;
Need for medical attention, if needed;
Name of staff involved and person completing the
report;
Name of child's legal custodian notified and date and
time of notification; and
Signature of supervisory or administrative staff
review ing the report.
.Authority- G.S. 131D-1Q.5: 143B-153.
13:11
NORTH CAROLINA REGISTER
December /, 1998
899
PROPOSED RULES
.0615 SEARCHES
(a) The residential child care facility shall have written
policies and procedures on conducting searches of children's
rooms and possessions which shall be discussed with each child.
their parents or legal custodian prior to or upon admission.
(b) The search policies and procedures shall include:
( 1 ) Circumstances under which searches are conducted:
(2) Personnel authorized to conduct searches: and
(3) Pro\ision for documenting searches and informing
super\isor\ personnel of searches.
AuthorinG.S. 131D-10.5: 143B-153.
SECTION .0700 - BUILDINGS, GROUNDS AND
EQUIPMENT
.0701 REQUIREMENTS FOR APPROVAL
(a) Floor plans for new residential child care facilities
housing six or fewer children all of whom are able to e\acuate
the facility without assistance must be submitted to and appro\ed
by the Division of Social Services. Children's Services Section
as a condition for licensure, prior to beginning ser\ ice operation.
(b) Floor plans for ne\s and renovated existing residential
child care facilities housing as manv as seven and fevser than 10
children and for residential child care facilities housing six or
fewer, nr more than three of whom are unable to evacuate the
facility w_ "out assistance, must be submitted to and approved bv
the Department of Health and Human Services. Division of
Facility Services. Construction Section prior to beginning
construction.
facility must compiv with all applicable local zoning regulations
and local and state building codes.
AuthorinG.S. 131D-I0.5: 143B-153.
.0703 APPLICABLE BUILDING CODES
(a) Nevviv constructed buildings to be used for residential
child care purposes must meet the requirements of the North
Carolina State Building Code for the tvpe of occupancy for
which the building is to be used. The North Carolina State
Building Code is hereby incorporated by reference including
subsequent amendments and additions. The North Carolina
State Building code mav be obtained from the North Carolina
Department of Insurance. Code Council Building. 410 North
Boy Ian Avenue. Raleigh. North Carolina. 27603 at a cost of one
hundred eighteen dollars (SI 18.00).
(b) Residential child care facilities keeping 10 or more
children must meet requirements for INSTITUTIONAL
UNRESTRAINED OCCUPANCY of the North Carolina State
Building Code and Volume 1-C requirements for handicapped
accessibility.
(c) Residential child care facilities keeping as manv as seven
and fewer than 10 unrestrained children must meet the
requirements of the North Carolina State Building Code Volume
1 for "RESIDENTIAL CARE FACILITIES."
(d) Residential child care facilities keeping six or fewer
unrestrained children with no more than three unable to evacuate
the facility without assistance must meet the North Carolina
State Building Code Volume \ for "RESIDENTIAL CARE
FACILITIES."
4
I
(c) Preliminary and final construction drawings for new
facilities, conversions of existing facilities, or renovations of
(e) Residential child care facilities keeping six or fewer
. unrestrained children who are able to evacuate the facilit\
existing facilities housing 10 or more children must be submitted without assistance must meet the North Carolina State
to and approved by the Department of Health and Human
Services. Division of Facility Services. Construction Section
prior to beginning construction. Three sets of drawings must be
submitted to the Construction Section for their review and
distribution to the Division of Environmental Health and the Authorin- G.S. I3ID-10.5: 143B-153.
Department of Insurance.
(d) When a question arises in determining whether an existing
building used for child care purposes meets the requirements of
the North Carolina State Building Code, an interpretation must
be obtained by submitting a floor plan of the building, together
with details of construction, to the Department of Health and
Human Services. Division of Facility Services. Construction
Section.
Authorin- G.S. 131D-I().5: 143B-153.
.0702 CONSTRUCTION AND RENOVATION
(a) Construction plans for new, reconstructed or renovated
buildings must be compatible with the residential child care
function of the facility and its program needs. A residential
child care facility must not have two unrelated types of
occupancy jn the same building.
(b) The construction of a new residential child care facility.
the conversion of an existing building for residential child care
Residential Building Code Volume VII.
(f) Mobile homes. v\hether mobile or permanently situated,
shall not be used for residential child care facilities.
.0704 FIRE AND BUILDING SAFETY
(a) Each building shall have a non-p ay telephone available at
all times. Emergency telephone numbers shall be posted at the
telephone.
(b) Care must be exercised by the staff [n allowing children
to use matches or to handle combustible materials.
(c) Emergency plans and fire evacuation plans approved by
the local fire authority must be developed and posted on each
floor of each building.
(d) Fire drills must be held monthly at different times during
the dav and quarterly at night for both children and staff
Documentation of fire drills must be kept.
(e) The staff and children residing in a facility must be traine d
in the proper reporting ot" a fire and the wavs of escaping from
a fire. New residents must be instructed within the first day
upon admittance.
(JQ For every 2.500 square feet of floor area or portion thereof
and for each floor there must be at least one tire extinguisher
I
purposes, or the remodeling of an existing residential child care Fire extinguishers must be provided jn accordance vsith the
900
NORTH CAROLINA REGISTER
December L 1998
13:11
PROPOSED RULES
standards of the National Fire Protection Association Standard
for Portable Fire Extinguishers NFPA Number 10. They must
be inspected annually and kept charged and filled at all times in
' accordance with NFPA Number 10. NFPA Number 10 is
hereby incorporated by reference including subsequent
amendments and additions. The NFPA Number 10 may be
obtained from NFPA, JJ. Tracy Drive. Ayon, Massachusetts.
02322 at a cost of twenty four dollars and seventv-fiye cents
($24.75).
(g) For seven or more residents, each floor level must be
separated from other floors in accordance with the requirements
of the applicable building code, and by not less than walls and
a solid core, self-closing. 20 minute fire-rated door.
(h) Each floor level must be provided with a minimum of two
remotely-located exits.
£i} Fire exits and all exit-access paths including doors,
hallways, and stairs, must be well lighted and kept clear of
obstructions.
(i) No locks shall be installed on exit or room doors which
would prevent occupants from getting out of the building by the
simple operation of a single knob or lever.
(k) Emergency lighting must be provided for exiting from the
building.
(Ij Windows in children's bedrooms must be openable without
the use of keys or special tools.
(m) Fire alarm and smoke detector systems must be installed
in each child care facility in accordance with the North Carolina
State Building Code, be aucble throughout the building, be kept
in working order and be readily identifiable by the staff and
children.
(n) All electrical and heating equipment must be listed by a
recognized testing agency; the electrical wiring in the building
must conform to the requirements stated in the National
Electrical Code for the applicable occupancy. The National
Electrical Code is hereby incorporated by reference including
subsequent amendments and additions. The National Electrical
Code may be obtained from the Department of Insurance. Code
Council Section. 410 Boylan Avenue. Raleigh. North Carolina
27603 at a cost of fort\-five dollars ($45.00).
(o) Hot water at fixtures used by residents for bathing or
hand-washing must be maintained at a minimum of 100 degrees
Fahrenheit and a maximum of not more than 1 16 degrees
Fahrenheit.
Authority G.S. 131D-10.5: I43B-153.
.0705 GENERAL SANITATION
(a) The water supply, sewage disposal, solid waste disposal,
and food service must meet applicable rules of the Commission
of Health Services.
(b) Kitchens providing food service to 13 or more children
must meet the requirements of "Rules Governing the Sanitation
of Hospitals. Nursing Homes. Rest Homes. Sanitariums, and
Educational and Other Institutions" adopted by the Commission
of Health Services in 15A NCAC 18A .1300.
(c) Kitchens providing food service to no more than 12
children must meet the requirements of "Rules Governing the
Sanitation of Residential Care Facilities" adopte d by the
Commission of Health Services in 15A NCAC 18A .1300.
(d) Laundry facilities must be provided.
(e) To assure compliance with all local and state sanitation
regulations, construction plans for seven or more residents for a
new child care facility, renovations of an existing building for a
child care facility, or the reconstruction of an existing child care
facility must be submitted to and approved by the county health
department in which the facility is located.
Authority G.S. 13ID-10.5: 143B-153.
.0706 BATHING AND TOILET AREAS
(a) Facilities licensed for the first time after the effective date
of Subchapters 41S and 4 IT. shall provide at least one toilet, one
lavatory with hot and cold water, and one tub or shower with hot
and cold water must be provided for each six children or fraction
thereof. For children under five years old a tub must be
provided.
(b) Toilet and bathing facilities for direct care staff must be
separate from facilities used by children living in the facility.
(c) Bathrooms must be located as conveniently as possible to
the children's bedrooms.
(d) The entrance to a bathroom must not be through another
resident's bedroom or bathroom.
A uthority G.S. 13 ID- 10. 5: 1 43B- 1 53.
.0707 SLEEPING AREAS
(a) Bedrooms m existing facilities licensed before October
31. 1977 must provide a minimum of 60 square feet of floor
space for each child in multi-occupancy bedrooms and a
minimum of 80 square feet of floor space in single-occupancy
bedrooms. Floor area shall not include closets or wardrobes.
(b) Except as provided in Paragraph (c) of this Rule,
bedrooms in facilities licensed or developed after October 31.
1977 must provide a minimum of 80 square feet of floor space
for each child in multi-occupancy bedrooms and a minimum of
100 square feet of floor space m single-occupancy bedrooms.
Floor area shall not include closets or wardrobes.
(c) Bedrooms in facilities housing children with a maximum
stay of not more than 15 da\'s must provide a minimum of 60
square feet of floor space for each child in multi-occupancy
bedrooms and a minimum of 80 square feet of floor space in
single-occupancy bedrooms. Floor area shall not include closets
or wardrobes.
(d) The only door access to a bedroom must not be through
another bedroom.
(e) No child may share a bedroom with a staff member.
(f) No bedroom shall house more than four children.
(g) Children of different sexes more than fiye years of age
must not share a bedroom.
(h) Each child must have a bed of his or her own.
[i] Bunk beds shall be limited to no more than one bed above
the other bed at least four feet apart vertically.
IjJ Beds must be at least three feet apart at the head, foot and
sides; bunk beds must be at least five feet apart, horizontally.
(k) Each bed must be provided with a mattress in good repair.
£ij No day-bed, convertible sofa or other bedding of a
J 3: J]
NORTH CAROLINA REGISTER
December 1, 1998
901
PROPOSED RULES
temporary nature rnav be used.
(m) Bedrooms must be provided with a minimum of 48 cubic
feet of closet or wardrobe space per child and four cubic feet of
dra\s er space per child.
(n) Each bedroom must be prov ided \\ ith window area equal
to eight percent of the floor area of the room.
AuthorinG.S. 131D-1U.5: 143B-153.
nuisance to neighbors.
(f) Fences must be kept in good repair.
(g) Areas determined to be unsafe, including but not limited
to. steep grades, cliffs, open pits. s\s imming pools, high voltage
boosters, and high-speed roads, must be fenced off or have
natural barriers to protect children.
(h) Pla\ and recreational equipment must be located.
installed, and maintained to ensure the safety of children.
i
.0708 LIVI.NG/ACTIVITY AREAS
(a) The liv ing activ it\ areas must be accessible from an
outside entrance v\ithout going through sleeping, food service,
or food preparation areas.
(b) A minimum total living area of 200 square feet or 40
square feet per child, vvhichev er is greater, must be pro\ ided.
(c) Each required liv ing activ it\ room must be prov ided with
window area equal to eight percent of the floor area of the room.
Authority GS. 13ID-10.5: 143B-153.
.0712 INSPECTIONS
The residential child care facility must request and obtain
inspections at least annually from the local sanitarian and from
the local building inspector or fire inspector. Reports of such
inspections must be submitted to the Division of Social Services.
Aiahorm- G.S. 131D-10.5: 143B-153.
Authorm- G.S. I31D-I0 5: 143B-153.
.0709 DINING AREAS
(a) A minimum dining area of 120 square feet or J_4 square
feet per child, vvhichev er is greater, must be prov ided conv enient
to the kitchen.
(b) Each dining room must be provided with window area
qual to eight percent of the floor area of the room.
Authority- G.S. 13ID-10.5: 143B-153.
.0710 HE.\T, LIGHT AND VENTILATION
(a) Heat. Heating equipment must be prov ided that maintains
the temperature vn the facilit^ at no less than 65 degrees
Fahrenheit.
(b) Ventilation.
( 1) Living rooms, dining rooms and bedrooms shall have
openable windows to the outside.
(2) Rooms including toilets, baths, and kitchens, w ithout
openable windows must have mechanical ventilation
to the outside.
(c) .^ir conditioning or at least one fan per bedroom, living,
and dining area must be prov ided when the temperature in the
facilit\ exceeds 85 degrees Fahrenheit.
Authorit}G.S. 131D-10.5: 143B-153.
.0711 EXTERIOR SPACE
(a) Outdoor recreational space must be prov ided.
(b) .All structures on the grounds of the facilit^ accessible to
children must be free from hazards to health or safety.
(c) The grounds of the facility and the outdoor recreational
space must be maintained free from any hazards to health or
safety,
(d) Garbage and rubbish which js stored outside must be
stored securely in non-combustible, cov ered containers and must
be removed on a regular basis.
(e) Trash collection receptacles and incinerators must be kept
separate from plav areas and must be located to avoid being a
.0713 VEHICLES USED FOR TRANSPORTATION
OF CHILDREN
(a) Vehicle Requirements.
( 1 ) Vehicles must compK with aU motor vehicle laws and
regulations for the State of North Carolina.
01
.Motor vehicles must be maintained in a safe operating
condition, must be properly registered, and must hav e
a current, valid inspection sticker for the State of
North Carolina.
A first-aid kit must be in all motor vehicles.
<
The bed of an open bodv or a stake bed vehicle must
not be used for transporting children.
(b) Driver Requirements. The names of and a photostatic
copy of a valid driver's license for each person transporting
children shall be maintained [n a separate file.
(c) Safety Practices.
( 1 ) The interior of each vehicle must be maintained in a
clean and safe condition with clear passage to
operable doors.
(2) The driver must assure that all passengers follow
current North Carolina lavss regarding seat belt usage
and shall adhere to child passenger restraint laws
when transporting children.
(3) The driver shall not transport more persons, including
children and adults, than allov\ed by the design
capacity of the vehicle.
(4) Children shall not be transported for more than four
continuous hours without a minimum of 30 minutes
rest stop.
(5) Children shall not be transported for more than J_0
hours in any 24 hour period.
(d) Transportation Records. Insurance verification and the
vehicle identification certificate must be kept in the vehicle m
accordance vn ith State law.
(e) Insurance. If the residential child care facility's
transportation serv ices are provided by a private individual, a A
firm under contract, or bv another arrangement, the facility must ▼
maintain a fije copy of the individual's or firm's insurance
coverage.
902
.\ORTH CAROLI.\A REGISTER
December 7, 1998
13:11
PROPOSED RULES
(jQ Emergency Transportation. The residential child care
facility' must have a plan for transporting children in case of an
emergency.
Authority G.S. 131D-10.5: N3B-I53.
SUBCHAPTER 41T - MINIMUM LICENSING
STANDARDS FOR SPECIALIZED RESIDENTIAL
CHILD CARE PROGRAMS
SECTION .0100
CHILDREN'S FOSTER CARE
CAMPS
.0101 APPLICABILITY
In addition to the rules in K) NCAC 4 IS. the rules jn this
Subchapter shall apply to al] persons licensed or seeking
licensure for a children's foster care camp as defined jn 10
NCAC 4 IS. 0201.
.0105 SERVICE DELIVERY
(a) An itinerary shall be on file at camp for any off-campus
activity lasting longer than 24 hours. The itinerary shall include
participants' names, daily schedule, list of check-in points,
selected routes and telephone numbers of emergency resources
along each route (sheriffs, hospitals, rescue squads).
(b) Education.
(1) Each camp shall provide an alternative education
experience and the educational program shall comply
with the special education requirements of the
Department of Public Instruction; or. each camp must
be registered as and meet the requirements for a non-
public school.
(2) Education in a camp setting must be monitored and
evaluated pursuant to either public or non-public
school educational testing requirements to determine
the child's achievement level.
Authoht\- G.S. 131D-10.5: N3B-153.
.Authority G.S. 131D-10.5: 143B-153.
.0102 ADMISSION CRITERIA
in order to be considered for admission into a foster care
camp, r. child shall meet the following criteria:
( 1 ) be between the ages ot" eight and \1_ years old;
be phNsically able to participate in a camping
experience; and
voluntarily consent to admission.
t2j
recognizingi'understanding the need for a therapeutic
camping experience.
Authority G.S. 131D-10.5: 1433-153.
.0103 PERSONNEL
(a) Direct service personnel and supervisory personnel, in
addition to supervision and training specified in 10 NCAC 41 S
.0405(d). shall be provided supervision and training in the
following areas:
(1 ) rescue evacuation, updated everN three years; and
(2) basic emergency water safeU course, with
certification documented in tlie camp files and
updated every three years.
(b) There shall be a minimum of two counselors with
certification in Basic Rescue and Water Safety for each 10
children participating in activities involving water, including, but
not limited to: swimming, boating, canoeing, and rafting.
Authority G.S 131D-10.5: 143B-153.
.0104 SERVICE PLANNING
Each child shall have a medical assessment, within 60 days
prior to admission, documenting the child's abilin to participate
in the activities of a therapeutic camping experience in an
outdoor setting.
Author it\- G.S. 1 31 D- 10. 5: 143B-153.
.0106 BUILDINGS AND GROUND EQUIPMENT
(a) Facilities.
(1) All sleeping units must provide at least the following
space:
(A) 50 square feet p er person;
(B) Three feet between the head, feet and sides of
beds and sleepers; and
(C) 30 inches between sides of beds.
£4]
All camper sleeping facilities shall be limited to one
level structures.
Any structure, sleeping or otherwise, with an
occupancy of more than 12 persons, including staff,
shall have at least two separate and independent
means of exit.
Open flame lighting shall not be used in sleeping
shelters for lighting and heating.
(b) Grounds:
(1 ) There shall be potable water available at each camp
site.
(2) At each children's camp there shall be provided a
minimum of:
(A) one shower head for each 20 children;
(B) one flush toilet for each 20 children;
(C) one urinal for each 30 male children (urinals
may not be substituted for flush toilets);
(D) one handwashing facility, adjacent to toilet
facilities, for each 20 children; and
(E) a wilderness latrine facility approved pursuant
to tlie rules of tjie Commission of Health
Services.
(c) Equipment:
(1) Laundry facilities or equipment shall be available at
each camp for all staff and children.
(2) Gasoline, kerosene, and other flammable materials
shall be stored in covered safe containers plainly
labeled as to content.
(3) Power tools:
(A) All power tools, including mowers and
13:11
NORTH CAROLINA REGISTER
December 1, 1998
903
PROPOSED RULES
trimmers, must have safety devices and be used
according to manufacturer's instruction-
maintained in good repair, and used onh' by
those persons trained and experienced in their
safety.
(B) Campers shall receive safet\ instructions
before using such equipment.
(C) When campers are using such equipment, a
trained and responsible adult must be present.
(D) All pouer tools shall be stored in a locked
place not occupied bN' children \shen not in use.
(4) Fire extinguishers must be available in al] areas so
designated by fire safetN officials and shall be
properly charged and have a current inspection label.
Aiithorin- GS. 131D-10.5: 143B-153.
SECTION .0200 - EMERGENCY SHELTER CARE
PROGRAM
.0201 APPLICABILITY
in addition to the rules in 10 NCAC 41S. the rules in this
Subchapter shall appK to aU persons licensed or seeking
licensure for an emergencx shelter care program as defined in 10
NCAC 4 IS. 0201.
Authority G.S. 131D-W.5: 143B-153.
.0202 ADMISSION PROCEDURES
(a) At the time of admission, the residential child care facility'
shall obtain the following information:
( 1 ) The name, sex, race, birth date and birth place of the
child:
(2) When available, the parents" names, addresses,
telephone numbers, birth dates, races, religion and
marital status:
(3) When available, the names, addresses and telephone
numbers of siblings and other significant relatives;
and
(4) If the child has had prior placements, the names of
care-gi\ers. addresses and dates of prior placements.
(b) Within 72 hours of admission, the facilits' shall obtain the
following:
ill a
ill
01
(4}
a written agreement for admission from the legal
custodian:
consent for release of information:
consent for emergenc\ medical treatment: and
consent for famih time \ isitation.
(c) Within two weeks of admission, the facilit\ shall obtain
the follow ing:
( 1 ) Report of the phNsical examination in accordance with
10 NCAC41S .0604(a)(1): and
A social summap. which includes background
information on the child, his her famih, hisher
presenting problems, and current circumstances.
01
.0203 ADMISSION CRITERIA
The residential child care facilits' shall enter into and obtain a
written agreement from the child's legal custodian within 72
hours of the child's admission which contains the following:
( 1 ) A statement documenting the legal custodian's
authorits to place the child and designating the legal
custodian's consent for the child's admission:
(2) Information which sets forth the role and
responsibilities to be performed by the staff in the
facilit\ during the child's sta\ in the program:
Information that specifies the expectations of the legal
custodian during the child's sta\ in the program:
Specification of the anticipated length of the child's
sta\ : and
Ql
14)
i2l
Specification of the projected goals for the famih
during the child's sta\ in the program.
ill
16]
12J
18]
1^
\
Authorit)- G.S. 131D-10.5: 143B-153.
.0204 RECORDKEEPING
Client case record. An individual case record shall be
maintained on each child which contains the following:
( 1) W ritten consent for placement:
(2) Documentation of placement authorit\;
(3) Demographic information on child and the child's
famih:
Consents for release of information. emergenc\
medical treatment, famih time \ isitation:
Medical records, including the child's physical and
immunization records:
Social summary :
lndi\idualized ser\ice plan and biweekh' reviews.
including famih time plan:
Progress notes: and
Discharge summary.
Authority G.S. 131D-10.5: 1438-153.
.0205 SERVICE PLANNING
Within one week of admission, an individualized service plan
shall be developed and reviewed e\ en other w eek. thereafter. b>
the shelter home staff parents and legal custodian of the child,
when appropriate. The indiv idualized ser\ ice plan shall include:
( 1 ) The expectation and goals to be reached bv the child
while in care:
(2) The tasks and activities of thie shelter home staff to
meet the needs of the child while m care:
(3) The tasks and activities of the parents and legal
custodian to meet the needs of the child while in care:
(4) The projected discharge plan:
(5) The projected length of stav:
(6) The signatures of the shelter staff, the child, the
child's parents and the child's legal custodian if
different from the child's parents.
<
AuthorinG.S. 131D-W.5: 1438-153.
(
AuthorlrtG.S. I3ID-I0.5: 1438-153.
.0206
DISCHARGE SERVICES
904
NORTH CAROLINA REGISTER
December 1. 1998
13:11
PROPOSED RULES
(a) The residential child care facility shall establish a policy
which specifies that no child shall remain in care longer than 90
da\s. An exception mav be made to this polic\ if the facilit\ has
an established polic\ which specifies the length of time and the
circumstances by which a child will remain in shelter care longer
than 90 days.
(b) Prior to discharge, the staff of the residential child care
faciliU' shall develop a plan with the child to determine if follow-
up seryices will be proyided. the r\pe of seryjces to be provided
and the timeframe for conducting these ser\ ices.
Authorin-G.S. 131D-10.5: 143B-153.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
Notice is hereby given in accordance with G.S. 150B-2I.2
that the NC Wildlife Resources Commission intends to
amend rules cited as 15.4 NCAC WF.03I0. .0342. Notice of
Rule-making Proceedings was published in the Register on
October 1. 1998.
Proposed Effective Date: July 1. 2000
A Public Hearing will be conducted at 10:00 a.m. on December
16. 1998 at the .Archdale Building. Room 332. 512 S. Salisbury-
Street. Raleigh. NC 27603.
Reason for Proposed Action: 15.4 .\C.4C lOF .0310 - The
Dare Count}- Board of Commissioners initiated the no-wake
zones puruant to G.S. 75,4-15. to protect public safety- in the
area by restricting vessel speed. The wildlife resources
commission may adopt this as a temporaiy rule to S.L. 199^-
0403 following the abbreviated notice as indicated in the notice
of rule-making proceedings or following the public hearing an
d public comment period as indicated in this notice.
15.4 NCAC lOF .0342 - The Catmvba Count}- Board of
Commissioners initiated the no-wake zone pursuant to G.S. '5.4-
15. to protect public safer}- in the area by restricting vessel
speed. The wildlife resources commission may adopt this as a
temporaiy rule pursuant to S.L. 199'-0403 following the
abbreviated notice as indicated in the iiotice of rule-making
proceedings or following the abbreviated notice as indicated in
the notice of rule-waking proceedings or following the public
hearing and public comment period as indicated in this notice.
Comment Procedures: Interested persons mo}- present their
views either orally or in writing at the hearing. In addition, the
record of hearing will be open for receipt of written comments
from December I. 1998 to December 31. 1998. Such written
comments must be delivered or mailed to the NC Wildlife
Resources Commission. 512 N. Salisbuiy Street. Raleigh. North
Carolina 27604-1188.
Fiscal Note: These Rules affect the expenditures or revenues of
local government funds. These rules do not affect state funds and
do not have a substantial economic impact of at least five
million dollars ($5,000,000) in a 12-month period)
Editor's Note: 15.4 NC.4C 10F.0310 - Text in bold lettering,
previously published in the NC Register Volume 12. Issue 24,
page 2224.
CHAPTER 10 - WILDLIFE RESOURCES AND
WATER SAFETY
SUBCHAPTER lOF - MOTORBOATS AND
WATER SAFETY
SECTION .0300 - LOCAL WATER SAFETY
REGULATIONS
.0310 DARE COUNTY
(a) Regulated Areas. This Rule applies to the following
waters and portions of waters:
( 1 ) Manteo. Doughs Creek adjacent to Shallowbag Bay
and all canals situated within the territorial limits of
the Town of Manteo.
Hatteras. The waters of Hatteras Harbor and
(2)
(3)
(4)
(5)
Muddy Creek bounded on the north and south bv
the high-water mark, on thewest by a straight line
between channel markers number 20 and 17, and
on the east bv the mouth of Muddy Creek at
Sandv Bay.
(A) The waters of Hatteras Harbor and Muddy
Creek bounded on the north and south by
the high-water mark, on the west by a
straight line between channel markers
number 20 and 17, and on the east by the
mouth of Muddy Creek at Sandy Bay.
(B) The waters of Hatteras Inlet North Dock
ferry basin and the Hatteras Landing
channel, including the vicinity of Coast
Guatd Beacon Number One in the approach
channel as delineated by appropriate
markers .
Mann's Harbor The waters of Ferr> Dock Road
Canal.
Nags Head:
(A) Those waters contained within the canals of
Old Nags Head Cove Development;
(B) The Roanoke Sound inlets at Pond Island on
either side of Marina Drive extending north
from US 64-264.
Wanchese:
(A) The waters of Wanchese Harbor:
(B ) The Canal from its beginning where it connects
with the Roanoke Sound south of the dead end
road SR 1141 extending northwest roughly
parallel to SR 1141 a^nd SR 1142. then
westward roughK parallel to NC 345. and
finally curving to the southwest roughly
parallel to the C.B. Daniels Road to its end.
13:11
NORTH CAROLINA REGISTER
December 7, 1998
905
PROPOSED RULES
(6)
(7)
(8)
(9)
(10)
(II)
(12)
(13)
(14)
(15)
(16)
(17)
Stumps Point Canal. That portion of Stumps Point
Canal beginning at the Wildlife Resources
Commission boating access area and extending inland
for a distance of 3.600 feet.
Stumps Point Basin. That portion of the Stumps
Point Basin, at the head of the Stumps Point Ba>.
svhich is next to Highway 264 in the dock area and
designated bs the appropriate markers.
Town of Southern Shores. The waters contained in
the canals and lagoons svithin the territorial limits of
the Tos\n of Southern Shores.
Colington Harbour. The waters contained in the
canals of Colington Harbour.
K.itt> Hassk. Those s\aters contained in the canals of
Kitts Hass'k Landing Subdis ision.
Washington Baum Bridge. Those waters of the
Roanoke Sound from marker 24B north of the bridge
to marker 24 A south of the bridge, and 50 sards east
of the nas'igation span ssest to the shore as designated
bs the appropriate markers.
Colington island. The waters contained in an area
beginning at the bath house and recreation center on
the western shore of Colington Island, running 600
feet in a northerls direction and extending 300 feet
into Albemarle Sound as marked.
The w aters of Baum Bas Harbor.
The waters of High Bridge Creek.
Mill Creek - The waters of Pamlico Sound at Mill
Creek near .\\on as delineated bv appropriate
markers.
Ginguite Creek -_ The svaters of Ginguite Creek from
Highsvas 158 nonh to Lot 15 m Martins Point
Subdis ision.
Marina Canal - The ssaters of Marina Canal starting
at the mouth of the canal from the Pamlico Sound to
the boat basin adjoining Palmetto Shores Subdis ision.
(b) Speed Limit. No person shall operate any motorboat or
sessel at greater than no-svake speed within ans of the regulated
areas described in Paragraph (a) of this Rule.
(c) Restricted Ss\imming .Area. No person operating or
responsible for the operation of ans sessel. surfboard, water
skis, or jet skis shall permit the same to enter ans marked
ssvimming area described in Subparagraph (12) of Paragraph (a)
of this Rule.
(d) Placement and Maintenance of Markers. Subject to the
approsal of the United States Coast Guard and the United States
Arms Corps of Engineers, the following agencies are designated
suitable agencies for placement and maintenance of markers
implementing this Rule as to the regulated areas listed in the
seseral Subparagraphs of Paragraph (a) of this Rule:
( 1 ) the Board of Commissioners of the Tow n of Manteo
as to the areas indicated in Subparagraph (a) of this
Rule(l):
(2) the Board of Commissioners of Dare Count> as to the
areas indicated in Subparagraphs (2) through (7). (4)
and (11): (9). {XV^ £131. and (15). (15), (16) and
tllJ.
(3) the Board of Commissioners of the Town of Southern
Shores as to the areas indicated in Subparagraph (8);
(4) the Board of Commissioners of the Town of Kitt>
Hasvk as to the areas indicated in Subparagraph ^
Wft»^ (aK10) and(14). " \
Authorin- G.S. ~5A'3: '5A-I5.
.0342 CATAWBA COUNTY
(a) Regulated Areas. This Rule applies to the foUosving svaters
of Lake Hickors:
( 1 ) the public fishing pier located at the old Wildlife Club
off 12th Street Drise. NW. City of Hickon,;
(2) the shores of the Dixie Boat Club. Inc.;
(3) that area ssithin 50 sards of the Moore's Ferrs Boat
Marina and Boathouse on 44th Avenue. Circle NW;
(4) the small cose King between Gull Cose Lane and
Quiet Cos e Lan e Lane;
(5) the cose entering the Lake Hickors RV Resort Marina
as delineated bs appropriate markers.
(b) Speed Limit. No person shall operate a sessel at greater
than no-ssake speed in the ssaters of the regulated areas specified
in Paragraph (a) of this Rule.
(c) Placement and Maintenance of Markers. Thegoseming
board of the Cit> of Hickors and the Catass ba Counts. Board of
Commissioners are designated suitable agencies for placement
and maintenance of the markers implementing this Rule, subject
to the approsal of the Lmited States Coast Guard and the United
States Arms Corps of Engineers.
Auihorin- G.S. '5A-3: ~5A-15.
i
i
906
SORTH C.4ROLI.\.A REGISTER
December 1, 1998
13:11
TEMPORAR Y RULES
The Codifier of Rules has entered the following temporary- rule(s) in the North Carolina Administrative Code. Pursuant to G.S.
150B-21.1(e). publication of a temporaiy rule in the North Carolina Register sen-es as a notice of rule-making proceedings
unless this notice has been previously published by the agency.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
Rule-making Agency:
Commission
North Carolina Wildlife Resources
Rule Citation: 15.4 NCAC IOC .0302. .0305. .0405
Effective Date: November 1 . 1998
Findings Reviewed by Beccher R. Gray: .Approved
Authority for the rule-making: G.S. 113-134: 113-2''3: 113-
275: 113-276: 113-276.1: 113-292: 113-302: 113-304: 113-305
Reason for Proposed Action: ISA ^CAC IOC .0302 - To
regulate/restrict taking of inland game fish which is necessaiy
to manage and consen-e the resource.
15 I\'C.4C IOC .0305 - To regulate restrict creel and size limits
for taking of inland game fish which is necessaiy to manage and
conserve the resource.
15 NCAC IOC .0405 - To regulate/restrict possession of licenses
for nongame fish which is necessaiy to manage and conserve the
resource.
Comment Procedures: The North Carolina Wildlife Resources
Commission has the authority to adopt temporary rule pursuant
to S.L. 199 "-0403. These temporaiy rules are adopted following
the public hearing and public comment period established for
permanent rule adoption. A public hearing was held on
September 16. 1998 for the permanent rules and the record of
hearing for public comment was closed on on October 1. 1998.
The submission for permanent rule is on file with the Rules
Review Commission.
CHAPTER 10
WILDLIFE RESOURCES AND WATER SAFETY
SUBCHAPTER IOC - INLAND FISHING
REGULATIONS
SECTION .0300 - GAME FISH
.0302 MANNER OF TAKING INLAND GAME FISHES
(a) Except as provided in this rule below, it is unlawful for
any person to take inland game fishes from any of the waters of
North Carolina by any method other than with hook and line.
Landing nets may be used to land fishes caught on hook and
line. Game fishes taken incidental to commercial fishing
operations in joint fishing waters or coastal fishing waters shall
be immediately returned to the water unharmed. Game fishes
taken incidental to the use of licensed special devices for taking
nongame fishes from inland fishing waters as authorized by 15A
NCAC IOC .0407 shall be immediately returned to the water
unharmed, except in the Po e De e River downstr e am from th e
Bl e w e tt Falls dam. wh e r e that a daily creel limit of American
and hickory shad ma\ be taken with dipnets and bow nets sp e cial
fishing devices during the permitted season from March 1
through April 30 m those waters where such gear ma\ be
lawfully used. In the Pee Dee River below Blewett Falls dam
shad may be taken with any special fishing device during the
authorized season for that device.
(b) In the inland waters of the Roanoke River upstream of
U.S. 258 bridge, only a single barbless ho^k or a lure with a
single barbless hook may be used from I April to 30 June.
Barbless as used in this Rule, requires that the hook does not
have a barb or the barb is bent down.
HistoiyNote: .Authority G.S. 113-134: 113-2:'3: 113-292;
113-302:
Eff. Februaiy 1 . 19^6:
.Amended Ejf. July 1. 1996: October 1. 1994: July I, 1993: May
1. 1992: January 1. 1982:
Temporary .Amendment Eff. November ]_^ 1998.
.0305 OPEN SEASONS: CREEL AND SIZE LIMITS
(a) Generally. Subject to the exceptions listed in Paragraph
(b) of this Rule, the open seasons and creel and size limits are as
indicated in the following table:
GAME FISHES
DAILY CREEL
LIMITS
MINIMUM
SIZE LIMITS
OPEN SEASON
Mountain Trout:
Wild Trout
Waters
7 in.
ALL YEAR
(exc. 2)
Hatchery Sup-
ported Trout
Waters and
undesignated
None
All year, except
March 1 to 6:00 a.m.
on first Saturday
in April
13:11
NORTH CAROLINA REGISTER
December 1, 199H
907
TEMPOKAR Y RULES
waters
Muskellunge and
Tiger Musky
Chain Pickerel
(Jack)
Walleve
Sauaer
None
8
(exes. 8 & 9)
8
30 in.
None
None
15 in.
(exc. 2)
ALL YEAR
ALL YEAR
ALL YEAR
(exc. 8)
ALL YEAR
i
Black Bass:
Largemouth
5
(exc. 9)
14 in.
(exes. 3.7 & 10)
ALL YEAR
(exc. 17)
Smallmouth
and Spotted
5
(exc. 9)
12 in.
(exes. 3.7 & 10)
ALL YEAR
White Bass
25
None
ALL YEAR
Sea Trout (Spotted
or Speckled)
10
12 in.
ALL YEAR
Flounder
None
13 in.
ALL YEAR
Red drum (channel
bass, red fish,
pupp\ drum)
5
18 in.
ALL YEAR
Striped Bass
and their h\ brids
(Morone Hybrids)
8 aggregate
(e.xcs. 1 & 5)
16 in.
(exes. 1.5 & 11)
ALL YEAR
(exes. 5. 13. & 15)
Shad: (American
and hickop. )
] aggregate
(exc. 18)
None
ALL YEAR
(exc. 18) (exes. 18& 19)
Kokanee Salmon
7
None
ALL YEAR
Pan fishes
None
(exes. 4. 12. & 16)
None
(exc. 12)
ALL YEAR
(exc. 4)
NONGAME FISHES
None
(exc. 14)
None
(exc. 14)
ALL YEAR
(exes. 6)
{
(b) Exceptions
(1) In the Dan River upstream from its confluence with
Bannister River to the BrantK Steam Plant Dam. and
in John H. Kerr. Gaston, and Roanoke Rapids
Reservoirs, and Lake Norman, the creel limit on
striped bass and Morone hybrids is four in the
aggregate and the minimum size limit is 20 inches.
(2 ) in designated public mountain trout \\ aters the season
for taking all species of fish is the same as the trout
fishing season. There is no closed season on taking
trout from Nantahala River and all tributaries
(excluding impoundments) upstream from Nantahala
Lake, and the impounded waters of power reservoirs
and municipalK-ouned water supply reservoirs open
to the public for fishing.
(3) Bass taken from Calderwood Reservoir ma\ be
retained without restriction as to size limit.
(4) On Mattamuskeet Lake, special federal regulations
appK.
(5) In the inland fishing waters of Cape Fear. Neuse. Pee-
Dee. Pungo and Tar-Pamlico rivers and their
n-ibutaries and the Roanoke Ri\ er and its tributaries,
including the Cashie. Middle, and Eastmost rivers,
extending upstream to the first impoundment, and
{
908
NORTH CAROLINA REGISTER
December 7. 1998
13:11
TEMPORARY RULES
Lake Mattamuskeet, the daily creel limit for striped
bass and their hybrids is three fish and the minimum
length limit is 1 8 inches. In the Roanoke River and its
tributaries, including the Cashie, Middle, and
Eastmost rivers-from April 1 to May 31 no fish
between the lengths of 22 inches and 27 inches shall
be retained.
(6) See 15A NCAC IOC .0407 for open seasons for
taking nongame fishes by special devices.
(7) The maximum combined number of black bass of all
species that may be retained per day is five fish, no
more than two of which may be smaller than the
applicable minimum size limit. The minimum size
limit for all species of black bass is 14 inches, with no
exception in Lake Luke Marion in Moore County, in
Reedy Creek Park lakes in Mecklenburg County, in
Lake Rim in Cumberland County, in Currituck Sound
and tributaries north of Wright Memorial Bridge, in
North River and tributaries in Currituck and Camden
Counties north of a line between Camden Point and
the end of SR 1 124, in High Rock Lake downstream
of 1-85, in Badin Lake, in Falls Lake, in Lake Tillery,
in Blewett Falls Lake, and in the New River and its
tributaries in Onslow County'. In and west of
Madison, Buncombe, Henderson and Polk Counties
and in designated public mountain trout waters the
minimum size limit is 12 inches. In B. Everett Jordan
Reservoir a minimum size limit of 16 inches, with no
exception, applies to largemouth bass. In Falls of
Neuse Reservoir, east of SR 1004. and Tuckertown
Lake no black bass between the lengths of 12 inches
and 16 inches may be retained, and the minimum size
limit for black bass is 1 6 inches, except that the daily
creel may contain two black bass of less than 12
inches in length. In W. Kerr Scott Reservoir there is
no minimum size limit for spotted bass.
(8) A minimum size limit of 1 5 inches applies to walle>e
taken from Lake James and its tributaries, and the
daily creel limit for walleye is four fish in Linville
River upstream from the NC 126 bridge above Lake
James.
(9) The creel limit for black bass and walleye taken Irom
Calderwood Reservoir is 10.
(10) The minimum size limit for all black bass, with no
exception, is 18 inches in the following trophy bass
lakes:
(A) Cane Creek Lake in Union Count>;
(B) Lake Thom-A-Lex in Davidson County; and
(C) Sutton Lake in New Hanover County.
(11) In all impounded inland waters and their tributaries,
except those waters described in Exceptions ( 1 ) and
(5), the daily creel limit of striped bass and their
hybrids may include not more than two fish of smaller
size than the minimum size limit.
(12) In Lake Tillery, Falls Lake, High Rock Lake. Badin
Lake. Tuckertown Lake. Lake Hyco. Lake Ramseur
and Cane Creek Lake a daily creel limit of 20 fish and
a minimum size limit of 8 inches appK to crappie. In
Lake James, a daily creel limit of 20 fish applies to
crappie.
(13) In designated inland fishing waters of Roanoke
Sound, Croatan Sound, Albemarle Sound, Chowan
River, Currituck Sound, Alligator River, Scuppemong
River, and their tributaries (excluding the Roanoke
River and Cashie River and their tributaries), striped
bass fishing season, size limits and creel limits shall
be the same as those established by duly adopted rules
or proclamations of the Marine Fisheries Commission
in adjacent joint or coastal fishing waters.
(14) The daily creel and length limits for channel, white,
and blue catfish in designated urban lakes are
provided for in 15A NCAC IOC .0401(d).
(15) The Executive Director may, by proclamation,
suspend or extend the hook-and-line season for
striped bass in the inland and joint waters of coastal
rivers and their tributaries. It is unlawful to violate
the provisions of any proclamation issued under this
authority'.
( 1 6) In the entire Lumber River from the Camp MacKall
bridge (SR 1225, at the point where Richmond,
Moore, Scotland, and Hoke counties join) to the
South Carolina state line and in all public fishing
waters east o'" 1-95, except Tar River Reservoir in
Nash County, the daily creel limit for sunfish is 30 in
aggregate, no more than 12 of which shall be
redbreast sunfish.
(17) In Sutton Lake, no largemouth bass may be retained
from December 1 through March 3 1 .
(18) In the Pee Dee River downstream from the Blewett
Falls dam, shad may be taken with special fishing
devices without restriction to creel limits as provided
for in 15A NCAC IOC .0404 (b) during the permitted
special fishing device seasons specified in 15A
NCAC IOC .0407. American and hickon, shad taken
under this Subparagraph may be sold as authorized
under subsection IOC .0401.
(19) The season for taking American and hickory shad
with dip nets and bow nets is March 1 through April
30, except in Pee Dee River downstream from Blewett
Falls dam where the season prescribed in 1 5 A NCAC
IOC .0407(4) and (75) is in effect.
His ton- Note: Filed as a Temporary Amendment Eff.
December 1, 1994 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner:
Filed as a Temporaiy Amendment Eff. May 1. 1991. for a period
of 180 days to expire on November I, 1991 :
Filed as a Temporary Amendment Eff'. May 22. 1990, for a
period of 168 days to expire on November 1, 1990:
Filed as a Temporary Amendment Eff. May 10. 1990. for a
period of 180 days to expire on November 1, 1990:
Authority G.S. 113-134: 113-292: 113-304: 113-305:
Eff February 1. 1976:
Amended Eff. July 1, 1998: July 1. 1997: July 1. 1996: July 1,
1995: Julyl, 1994; July 1, 1993: October 1, 1992.
Temporary Amendment Eff. November f 1998
13:11
NORTH CAROLINA REGISTER
December 1, 1998
909
TEMPOR.4RY RULES
SECTION .0400 - NONGAME FISH
.0405 POSSESSION OF LICENSES
Except as indicated in this Rule below, ever} individual
participating in the taking offish through the use of an>' special
de\ ice must ha\e the special device fishing license issued to
him. personally, in his possession or readih available for
inspection. A bow net or a dip net ma\ be used b\ an indi\idual
other than the licensee with the licensee's permission, but such
user must ha\e the license in his possession or readil\ a\ ailable
for inspection, in s p e ction: provid e d, that \sh e n When using drag
seines authorized for taking nongame fishes at beaches on inland
fishing waters where there are migrator, saltvsater fishes
(h e rring, shad (herring or mullet). onK the principal owner and
operator is required to be licensed.
HislonXote: Authonn- G.S. 113-134: 113-:'5: 113-2'6:
113-2-6.1: 113-292:
Efl February 1 . 19^6:
TemporaiT Amendment Eff. Xorember L_ 1998.
TITLE 21 - 0CCLP.\T10NAL LICENSING
BOARDS
CHAPTER 16 - BOARD OF DENTAL
EXAMINERS
Rule-making Agency: \'onh Carolina State Board of Dental
Examiners
Rule Citation: 21 .\CAC 16M.0101
Effective Date: October 28. 1998
Findings Reviewed and .\pproved by: Beecher R. Gro}'
Authority for the rule-making: G.S. 90-28: 90-39: 90-48
Reason for Proposed .Action: The amendment of this rule is
necessary- because without an increase in funds, the Caring
Dentist Program cannot effectively manage its current caseload
nor accept ne^' participants.
Comment Procedures: IVrinen comments may be submitted
on rule-making to Christine H. Lockwood. Executive Director of
the Board at the Board's office. The Board's address is PO Box
322-0. Raleigh. \C 2-622-22-0.
SUBCHAPTER 16M - FEES PAYABLE
.0101 DENTISTS
(a) The follow ing fees shall be payable to the Board:
( 1 ) .Application for general dentistrs
examination S500.00
(2) .Application for renewal of instructor's
license and examination S 75.00
(3) Application for provisional license SIOO.OO
(4) Application for intern permit or renewal a
thereof SI 00.00 f_
( 5 ) Certificate of license to a resident dentist
desiring to change to another state or
territor} S 25.00
(6) Duplicate license S 25.00
(7) Reinstatement of license after retirement
from practice in this State S225.00
(8) Penalt) fee for late renewal of an\ license
or permit S 50.00
(b) Each dentist renew ing his license to practice dentistr> in
North Carolina shall be assessed a fee of fift e en dollars
(S15.00). t^vent\'-fi\ e dollars ($25.00). in addition to the annual
renewal fee. to be contributed to the operation of the Caring
Dentist Program.
Histoty .Xote: Authority G.S. 90-28: 90-39: 90-48:
Eff September 3. 19-6:
Re adopted Eff] September 26. 19":':
.Amended Ejf. August 1. 1998: December 1. 1994: May 1. 1989:
March 1. 1988: May 1. 198-:
Temporan- Amendment Eff. October 28. 1998.
{
CHAPTER 46 - BOARD OF PHARM.\CY
Rule-making .Agency: .\ortli Carolina Board of Pharmacy
Rule Citation: 21 XCAC 46.1815
Effective Date: October 29. 1998
Findings Reviewed and Approved by: Beecher R. Gray
Authority for the rule-making: G.S. 90-85.6: 90-85.32
Reason for Proposed .Action: The adoption of this rule is
necessaty to allow patients to obtain an emergency prescription
refill when refill authorization from the prescriber is not readily
obtainable due to an interruption in medical services.
Comment Procedures: Written comments may- be submitted
on tlie rule-making to David R. Work. Executive Director of the
Board at tlie Board's office. The Board's address is PO Box
459. Carrboro. \C 2-510-0459.
SECTION .1800 - PRESCRIPTIONS
.1815 EMERGENCY PRESCRIPTION
REFILL DIE TO INTERRUPTION
OF MEDICAL SERVICES
In the e\ent a pharmacist or de\ice and medical equipment ^
pemiit holder recei\es a request for a prescription refill and the ^
pharmacist or permit holder js unable to obtain readih refill
authorization from the prescriber because of the prescriber" s
910
NORTH CAROLINA REGISTER
December I, 1998
13:11
TEMPORAR Y R ULES
inability to provide medical services to the patient, the
pharmacist or permit holder may dispense a one-time emergency
supply of u p to 90 days of the prescribed medication, provided
that:
(1) The prescription is not for a Schedule 11 controlled
substance;
(2) The medication is essential to the maintenance of life
or to the continuation of therapy jn a chronic
condition;
(3) In the pharmacist's or permit holder's professional
judgment, the interruption of therapy might
reasonably produce undesirable health consequences;
(4) The dispensing pharmacist or permit holder creates a
written order entered in the pharmacy's automated
data processing system containing all of the
prescription information required by Section .2300 of
these Rules and signs that order;
(5) The dispensing pharmacist or permit holder notifies.
or makes a good faith attempt to notii\. the prescriber
or the prescriber' s office of the emergenc\ dispensing
within 72 hours after such dispensing.
History Note: Authorit}- G.S. 90-85. 6: 90-85. 32:
Temporan- Adoption Eff. October 29. 1998.
\
13:11 NORTH CAROLINA REGISTER December I. 199H 911
APPROVED RULES
This Section includes the Register Notice citation to Rules approved by the Rules Review Commission (RRC) at its meeting
of September 1". 1998 pursuant to G.S. 150B-21.17la)<l) and reported to the Joint Legislative Administrative Procedure
Oversight Committee pursuant to G.S. 150B-21. 16. The full text of rules are published below when the rules have been
approved by RRC in a form different from that originally noticed in the Register or when no notice was required to be
published in the Register The rules published in full text are identified by an * in the listing of approved rules. Statutory-
Reference : G.S 150B-2L17.
These rules unless otherwise noted, will become effective on the 31st legislative day of the 1999 Session of the General
Assemblv or a later date if specified by the agency unless a bill is introduced before the 31st legislative day that specifically
disapproves the rule. If a bill to disapprove a rule is not ratified, the rule will become effective either on the day the bill
receives an unfavorable final action or the day the General Assembly adjourns. Statutoiy reference: G.S. 1508-2 1. 3.
i
APPROVED RULE CITATION
REGISTER CITATION TO THE
NOTICE OF TEXT
10
NCAC
03H
.22 10* Amended Eff. October 1.
1998
not
required. G.S. 150B-21.5
12
NCAC
11
.0503
12
20 NCR 1824
12
NCAC
11
.0506-.0507
12
20 NCR 1824
15A
NCAC
02H
.0610
12
08 NCR 667
15A
NCAC
07H
.0308*
13
01 NCR 26
15A
NCAC
lOB
.0207*
12
24 NCR 2205
15A
NCAC
13A
.0109-.0111
12
22 NCR 2001
15A
NCAC
13B
.1301
12
24 NCR 22 11
17
NCAC
05B
.1304* Repealed
Eff. October 1
1998
not required. G.S. 150B-2 1.5(a)
19A
NCAC
02D
.0415
12
24 NCR 22 19
21
NCAC
03
.0101-.0103
12
22 NCR 2007
21
NCAC
03
.0201
12
22 NCR 2007
21
NCAC
03
.0301-.0304
12
22 NCR 2007
21
NCAC
03
.0401
12
22 NCR 2007
21
NCAC
03
.0501*
12
22 NCR 2008
21
NCAC
14!
.0107*
13
02 NCR 246
21
NCAC
14N
.0103*
12
11 NCR 936
i
TITLE 10 - DEPARTMENT OF HEALTH
AND HUMAN SERVICES
SUBCHAPTER 3H - RULES FOR THE LICENSING
OF NURSING HOMES
SECTION .2200 - GENERAL STANDARDS
OF ADMINISTRATION
.2210 REPORTING AND INVESTIGATING ABUSE,
NEGLECT OR MISAPPROPRIATION
(a) The faciiit) shall take reasonable measures to prevent
patient abuse, patient neglect, or misappropriation of patient
propert)'. including but not limited to orientation and instruction
of facilirv staff on patients' rights, and the screening of and
requesting of references for all prospectixe employees.
(b) The administrator shall ensure that the Health Care
Personnel Registry Section of the Division of Facility Services
is notified within 24 hours or as soon as practicable of all
allegations which appear to a reasonable person to be related to
patient abuse, neglect or misappropriation of patient property.
(c) The facility shall thoroughK investigate allegations of
patient abuse, patient neglect, or misappropriation of patient
property in accordance with 42 CFR subsection 483. 13 which is
incorporated by reference, including subsequent amendments,
and shall document all relevant information pertaining to such
investigation and shall take whatever steps are necessary to
prevent further incidents of abuse, neglect or misappropriation
of patient property vshile the investigation is in progress. Copies
of the Code of Federal Regulations ma\ be purchased from the
Superintendent of Documents. U.S. Government Printing Office.
Washington. D.C. 20402 for thirty eight dollars (S38.00) and
ma\ be purchased v\ith a credit card bv a direct telephone call to
the'CRO. at (202) 783-3238.
(d) The administrator shall ensure that the report of
investigation is printed or typed and postmarked to the Health
Care Personnel Registry Section of the Division of Facility
Services within five working days of the allegation. The report
shall include the date and time of the alleged incident of abuse,
neglect or misappropriation of property: the patient's full name
and room number: details of the allegation and anv injury : names
of the accused and any witnesses: names of the facility staff who
investigated the allegation: results of the investigation: and an\^
corrective action that mav have been taken b\ the facility. t
Historv Note: Aulh()rit^■ G.S. 13 1 £-104: 131E-131:
912
NORTH CAROLINA REGISTER
December I. 1998
13:11
APPROVED RULES
131E-255:
Ejf. January 1 . 1996:
Amended Eff. October 1.
1998.
>
\
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
CHAPTER 7 - COASTAL MANAGEMENT
SUBCHAPTER 7H - STATE GUIDELINES FOR
AREAS OF ENVIRONMENTAL CONCERN
SECTION .0300 - OCEAN HAZARD AREAS
.0308 SPECIFIC USE STANDARDS FOR OCEAN
HAZARD AREAS
(a) Ocean Shoreline Erosion Control Activities:
(1) Use Standards Applicable to all Erosion Control
Activities:
(A) All oceanfront erosion response activities shall
be consistent with the general policy statements
in 15ANCAC7M .0200.
(B) Permanent erosion control structures may
cause significant adverse impacts on the value
and enjovTnent of adjacent properties or public
access to and use of the ocean beach, and,
therefore, are prohibited. Such structures
include, but are not limited to: bulkheads;
seawalls: revetments; jetties: groins and
breakwaters.
(C) Rules concerning the use of oceanfront erosion
response measures appK to all oceanfront
properties without regard to the size of the
structure on the property or the date of its
construction.
(D) All permitted oceanfront erosion response
projects, other than beach bulldozing and
temporar\ placement of sandbag structures,
shall demonstrate sound engineering for their
planned purpose.
(E) Shoreline erosion response projects shall not
be constructed in beach or estuarine areas that
sustain substantial habitat for important fish
and wildlife species unless adequate mitigation
measures are incorporated into project design,
as set forth in Rule .0306(1) of this Section.
(F) Project construction shall be timed to minimize
adverse effects on biological activity.
(G) Prior to completing any erosion response
project, all exposed remnants of or debris from
failed erosion control structures must be
removed by the permittee.
(H) Erosion control structures that would otherwise
be prohibited b\ these standards may be
permitted on finding that:
(i) the erosion control structure is necessary
to protect a bridge which provides the
only existing road access to a substantial
population on a barrier island; that is
vital to public safety; and is imminently
threatened by erosion;
(ii) the erosion response measures of
relocation, beach nourishment or
temporary stabilization are not adequate
to protect public health and safety; and
(iii) the proposed erosion control structure
will have no adverse impacts on
adjacent properties in private ownership
and will have minimal impacts on public
use of the beach.
(I) Structures that would otherwise be prohibited
by these standards may also be permitted on
finding that:
(i) the structure is necessary to protect an
historic site of national significance,
which is imminently threatened by
shoreline erosion; and
(ii) the erosion response measures of
relocation, beach nourishment or
temporan, stabilization are not adequate
and practicable to protect the site; and
(iii) the structure is limited in extent and
scope to that necessary to protect the
site; and
(iv) any permit for a structure under this
Sub-subpart (I) of this Subparagraph
may be issued only to a sponsoring
public agency for projects where the
public benefits clearly outweigh the
short or long range adverse impacts.
Additionally, the permit must include
conditions providing for mitigation or
minimization by that agency of any
significant and unavoidable adverse
impacts on adjoining properties and on
public access to and use of the beach.
(J) Structures that would otherwise be prohibited
by these standards may also be permitted on
finding that:
(i) the structure is necessary to maintain an
existing commercial navigation channel
of regional significance within federally
authorized limits: and
(ii) dredging alone is not practicable to
maintain safe access to the affected
channel; and
(iii) the structure is limited in extent and
scope to that necessan.' to maintain the
channel; and
(iv) the structure will not result in
substantial adverse impacts to fisheries
or other public trust resources: and
(v) any permit for a structure under this
Sub-subpart (J) of this Subparagraph
13:11
NORTH CAROLINA REGISTER
December 1, 1998
913
APPROVED RULES
may be issued only to a sponsoring
public agency for projects where the
public benefits clearly outweigh the
short or long range adverse impacts.
Additionally, the permit must include
conditions providing for mitigation or
minimization by that agenc\ of any
significant and unavoidable adverse
impacts on adjoining properties and on
public access to and use of the beach.
(K) Proposed erosion response measures using
innovative technology or design will be
considered as experimental and will be
evaluated on a case-by-case basis to detennine
consistency with 15A NCAC 7M .0200 and
general and specific use standards within this
Section.
(2) Temporary Erosion Control Structures:
(A) Permittable temporary erosion control
structures shall be limited to sandbags placed
above mean high water and parallel to the
shore.
(B) Temporary erosion control structures as
defined in Part (2)(A) of this Subparagraph
may be used only to protect imminently
threatened roads and associated right of ways,
and buildings and associated septic systems. A
structure will be considered to be imminently
threatened if its foundation septic system, or
right-of-way in the case of roads, is less than
20 feet away from the erosion scarp. Buildings
and roads located more than 20 feet from the
erosion scarp or in areas where there is no
obvious erosion scarp may also be found to be
imminently threatened when site conditions,
such as a flat beach profile or accelerated
erosion, tend to increase the risk of imminent
damage to the structure.
(C) Temporary erosion control structures may be
used to protect only the principal structure and
its associated septic system, but not such
appurtenances as gazebos, decks or an\'
amenity that is allowed as an exception to the
erosion setback requirement.
(D) Temporary erosion control structures may be
placed seaward of a septic system when there
is no alternative to relocate it on the same or
adjoining lot so that it is landward of or in line
with the structure being protected.
(E) Temporary erosion control structures must not
extend more than 20 feet past the sides of the
structure to be protected. The landward side of
such temporary erosion control structures shall
not be located more than 20 feet seaward of the
structure to be protected or the right-of-wa\' in
the case of roads.
(F) A temporary erosion control structure may
remain in place for up to two years after the
date of approval if it is protecting a building
with a total floor area of 5000 sq. ft. or less, or,
for up to five years if the building has a total ^
floor area of more than 5000 sq. ft. A^
temporary erosion control structure may remain
in place for up to five years if it is protecting a
bridge or a road. The property owner shall be
responsible for removal of the temporary
structure within 30 days of the end of the
allowable time period. A temporary erosion
control structure may remain in place for up to
five years regardless of the size of the structure
if the community in which it is located is
actively pursuing a beach nourishment project.
For purposes of this Rule, a community is
considered to be actively pursuing a beach
nourishment project if it has;
(i) been issued a CAMA permit approving
such project, or
(ii) been deemed worthy of further
consideration by a U.S. Army Corps of
Engineers' Beach Nourishment
Reconnaissance Study, or
(iii) received a favorable economic
evaluation report on a federal project
approved prior to 1986
(G) Once the temporary erosion co. "ol structure is
determined to be unnecessary due to relocation
or removal of the threatened structure, it must
be removed by the property owner within 30
days.
(H) Removal of temporary erosion control
structures may not be required if the\ are
covered by dunes with vegetation sufficient to
be considered stable and natural.
(I) The property owner shall be responsible for the-
removal of remnants of all portions of any
damaged temporary erosion control structure.
(J) Sandbags used to construct temporary erosion
control structures shall be tan in color and three
to five feet wide and seven to 15 feet long
when measured fiat. Base width of the
structure shall not exceed 20 feet, and the
height shall not exceed six feet.
(K) Soldier pilings and other types of devices to
anchor sandbags shall not be allowed.
(L) An imminently threatened structure ma\ be
protected only once, regardless of ownership.
In the case of a building, a temporary erosion
control structure ma\ be extended, or new
segments constructed, if additional areas of the
building become imminentK threatened.
Where temporary structures are installed or
extended incrementally, the time period for
removal under Part (F) of this Subparagraph^
shall begin at the time the initial erosion"
control structure is installed. For the purpose
of this Rule:
(
914
NORTH CAROLINA REGISTER
December 1, 1998
13:11
APPROVED RULES
(i) a building and septic system shall be
considered as separate structures,
(ii) a road or highway shall be allowed to be
incrementally protected as sections
become imminently threatened. The
time period for removal of each section
of sandbags shall begin at the time that
section is installed in accordance with
Part (F) of this Subparagraph.
(M) Existing sandbag structures may be repaired or
replaced within their originally permitted
dimensions during the time period allowed
under Part (F) of this Subparagraph.
(N) Existing sandbag structures that have been
properly installed prior to May 1, 1995 shall be
allowed to remain in place according to the
provisions of Parts (F), (G) and (H) of this
Subparagraph with the pertinent time periods
beginning on May 1. 1995.
(3) Beach Nourishment. Sand used for beach
nourishment shall be compatible with existing grain
size and type. Sand to be used for beach nourishment
shall be taken only from those areas where the
resulting environmental impacts will be minimal.
(4) Beach Bulldozing. Beach bulldozing (defined as the
process of moving natural beach material from any
point seaward of the first line of stable vegetation to
create a protective sand dike or to obtain material for
any other purpose) is development and ma\ be
permitted as an erosion response if the following
conditions are met;
(A) The area on which this activity is being
performed must maintain a slope of adequate
grade so as to not endanger the public or the
public's use of the beach and shall follow the
pre-emergency slope as closely as possible.
The movement of material utilizing a
bulldozer, front end loader, backhoe, scraper,
or any type of earth moving or construction
equipment shall not exceed one foot in depth
measured from the pre-activit)' surface
elevation;
(B) The activit\' must not exceed the lateral bounds
of the applicant's property unless he has
permission of the adjoining land owner(s);
(C) Movement of material fi-om seaward of the low
water line will require a CAMA Major
Development and State Dredge and Fill Permit;
(D) The activity must not significantly increase
erosion on neighboring properties and must not
have a significant adverse effect on important
natural or cultural resources;
(E) The activity may be undertaken to protect
threatened on-site waste disposal systems as
well as the threatened structure's foundations.
(b) Dune Establishment and Stabilization. Activities to
establish dunes shall be allowed so long as the following
conditions are met:
(1) Any new dunes established shall be aligned to the
greatest extent possible with existing adjacent dune
ridges and shall be of the same general configuration
as adjacent natural dunes.
(2) Existing primary and frontal dunes shall not, except
for beach nourishment and emergency situations, be
broadened or extended in an oceanward direction.
(3) Adding to dunes shall be accomplished in such a
manner that the damage to existing vegetation is
minimized. The filled areas will be immediately
replanted or temporarily stabilized until planting can
be successfully completed.
(4) Sand used to establish or strengthen dunes must be of
the same general characteristics as the sand in the area
in which it is to be placed.
(5) No new dunes shall be created in inlet hazard areas.
(6) Sand held in storage in any dune, other than the
frontal or primary dune, may be redistributed within
the AEC provided that it is not placed any farther
oceanward than the crest of a primary dune or
landward toe of a frontal dune.
(7) No disturbance of a dune area will be allowed when
other techniques of construction can be utilized and
alterative site locations exist to avoid unnecessary
dune impacts.
(c) Structural Accessways:
(1) Structural accessways shall be permitted across
primary dunes so long as they are designed and
constructed in a manner which entails negligible
alteration on the primary dune. Structural accessways
may not be considered threatened structures for the
purpose of Paragraph (a) of this Rule.
(2) An accessway shall be conclusively presumed to
entail negligible alteration of a primary dune:
(A) The accessway is exclusively for pedestrian
use;
(B) The accessway is less than six feet in width;
and
(C) The accessway is raised on posts or pilings of
five feet or less depth, so that wherever
possible only the posts or pilings touch the
frontal dune. Where this is deemed impossible,
the structure shall touch the dune only to the
extent absolutely necessary. In no case shall an
accessway be permitted if it will diminish the
dune's capacity as a protective barrier against
flooding and erosion; and
(D) Any areas of vegetation that are disturbed are
revegetated as soon as feasible.
(3) An accessway which does not meet Parts (2)(A) and
(B) of this Paragraph shall be permitted only if it
meets a public purpose or need which cannot
otherwise be met and it meets Part (2)(C) of this
Paragraph. Public fishing piers shall not be deemed
to be prohibited by this Rule, provided all other
applicable standards are met.
(4) In order to avoid weakening the protective nature of
primary and frontal dunes a structural accessway
13:11
NORTH CAROLINA REGISTER
December 1. 1998
915
APPROVED RULES
(such as a "Hatteras ramp") shall be provided for any
off-road vehicle (ORV) or emergency vehicle access.
Such accesswBN's shall be no greater than 10 feet in
v\idth and shall be constructed of wooden sections
fastened together over the length of the affected dune
area.
(d) Construction Standards. New construction and substantial
improvements (increases of 50 percent or more in value on
square footage) to existing construction shall compK with the
following standards:
( 1 ) In order to avoid unreasonable danger to life and
property, all development shall be designed and
placed so as to minimize damage due to fluctuations
in ground elevation and wave action in a 100 \ear
storm. An\ building constructed within the ocean
hazard area shall compK with the North Carolina
Building Code including the Coastal and Flood Plain
Construction Standards. Chapter 34. Volume 1 or
Section 39. Volume 1-B and the local flood damage
pre\ention ordinance as required b\ the National
Flood Insurance Program. If anN pro\ision of the
building code or a flood damage prevention ordinance
is inconsistent with an\ of the following AEC
standards, the more restrictive provision shall control.
(2) All structures in the ocean hazard area shall be on
pilings not less than eight inches in diameter if round
or eight inches to a side if square.
(3) All pilings shall ha\e a tip penetration greater than
eight feet below the low est ground ele\ ation under the
structure; For those structures so located on the
primar\ dune or nearer to the ocean, the pilings must
extend to fl\e feet below mean sea le\el.
(4) All foundations shall be adequate!) designed to be
stable during applicable fluctuations in ground
ele\ ation and wa\e forces during a 100 \ear storm.
Cantile\ered decks and walkwa\s shall meet this
standard or shall be designed to break-aw a\ w ithout
structural damage to the main structure.
Hisiojy Xote: Filed as a Temporaiy Amendmeni Ejf. June 20.
1 989. for a period of 1 80 dens to expire on December 1 '. 1989:
Authority G.S. 113A-10'la): 113A-10'lb):
115A-113lb)l6la..b..d: 1I3A-124:
Eff.Junel. 19-9:
Amended Eff. August 3. 1992: December 1. 1991: March 1.
1990: December 1. 1989:
RRC Objection Eff'. Xovember 19. 1992 due to amhiguit}-:
RRC Objection Eff. January 21. 1993 due to ambiguity:
Amended Eff. March I. 1993: December 28. 1992:
RRC Objection Eff. .March 16. 1995 due to ambiguity:
Amended Eff. April L 1999: December 1. 1996: Februaiy 1.
1996: May 4.1995.
CHAPTER 10 - WILDLIFE RESOURCES AND
WATER SAFETY
SUBCHAPTER 108 - HUNTING AND TRAPPING
SECTION .0200 - HUNTING
.0207 RABBITS >
(a) Open Season: The open season for taking rabbits shall be V
the first Saturday preceding Thanksgiving through the last da\
of FebruaiA.
(b) Bag Limits: The daih bag limit shall be five. The
possession limit shall be 10. The season limit shall be 75.
(c) Box-traps: During the hunting season specified in
Paragraph (a) of this Rule and subject to the bag. possession and
season limits set forth in Paragraph (b) of this Rule, rabbits may
be taken w ith box-traps. A valid hunting license shall serve as
a transportation permit for li\e rabbits taken pursuant to this
Rule.
HistoiyXote: Authority G.S. 113-134: 113-2-4: 113-291.1:
113-291.2:
Eff. Februaiy I. 19-6:
.Amended Eff. July 1. 198-: .July 1. 1986: July 1. 1985: July 1.
1984:
Temporary .Amendment Eff. .August 1. 1998:
.Amended Eff. April 1 . 1999.
TITLE 17 - DEPARTMENT OF REVENUE
CHAPTER 5 - CORPORA Z FRANCHISE,
INCOME, AND INSURANCE TAXES
SUBCHAPTER 5B - FRANCHISE TAX
SECTION .1300 - INVESTMENT IN TANGIBLE
PROPERTIES IN NORTH CAROLINA BASE
.1304 CARRIER OPERATIONS PROPERTY
EXEMPT FROM INVESTMENT BASE
History Note: Authorities. 105-122: 105-262:
Eff. Februaiy 1 . 19-6:
.Amended Eff. January- 1 . 1994:
Repealed Eff. October 1. 1998.
i
TITLE 21 - OCCUPATIONAL LICENSING
BOARDS
CHAPTER 3 - NORTH CAROLINA BOARD OF
.ATHLETIC TRAINER EXAMINERS
SECTION .0500 - ATHLETIC TRAINER PROTOCOL
.0501 MINIMUM REQUIREMENTS
The practice protocol for each athletic trainer pursuant to G.S.
90-523(2) shall be a general outline of practices for which the
athletic trainer has been trained and shall be indi\ idualized to A
accommodate the skills of the athletic trainer The practice
protocol shall not allow the athletic trainer to undertake medical
916
NORTH C.AROLIXA REGISTER
December /, 1998
13:11
APPROVED RULES
diagnosis or to prescribe or dispense prescription drugs or
prescription devices. The practice protocol shall not allow the
athletic trainer to independently provide treatments for athletes
with fractures, head or spinal injuries, or other serious medical
conditions, except the athletic trainer may render appropriate
first aid or emergency care. The protocol shall specify
provisions for physician involvement in the event of serious
injuries. The athletic trainer and the physician shall sign and file
a statement with the North Carolina Medical Board agreeing to
abide by the protocol. The format of the protocol shall be
typewritten on letter size paper.
HistO}y Note: Authority G.S. 90-523: 90-525;
Temporan- Adoption Eff. March 16. 1998:
Eff. Men- L 1999.
(b) Candidates for the cosmetologist examination shall bring
two mannequins that conform with applicable requirements set
forth in 21 NCAC 14N .0105.
(c) Candidates for the cosmetologist teacher and manicurist
teacher examinations shall bring a kit containing the supplies
necessary to perform all services required by the examination.
(d) Candidates shall not be accepted after roll call.
(e) No candidates shall be allowed to bring books, electronic
devices, calculators, papers, or reference materials of any kind
into the testing room, except as provided in Paragraph (f) of this
Rule.
(f) Cosmetology teacher and manicurist teacher candidates
may use visual aids, prepared in advance, during the practical
examination. During the lesson planning part of the examination,
only a text book brought by that candidate may be used.
CHAPTER 14 - BOARD OF COSMETIC ART
EXAMINERS
SUBCHAPTER 141 - OPERATIONS OF SCHOOLS
OF COSMETIC ART
Histoiy Note: Authority G.S. 88-10(2): 88-12(2):
17: 88-21 (a)(16): 88-23: 88-30(4);
Eff. June 1, 1992;
Amended Eff. April 1. 1999.
-16; 88-
SECTION .0100 - RECORD KEEPING
.0107 REPORT OF ENROLLMENT
(a) A cosmetic art school shall report cosmetology
enrollments to the Board not later than 30 working days after a
student enrolls in school. A cosmetic art school shall report
manicurist enrollments to the Board not later than 15 working
days after a student enrolls in school. If a student's enrollment
is not reported within 30 working days for cosmetology and 15
working days for manicurist, the cosmetic art school shall file a
copy of the student's daily time records when it reports the
student's enrollment.
(b) A student whose enrollment has not been properly
reported to the Board shall not be accepted for either the
cosmetology examination or the manicurist and no hours will be
credited.
(c) A student may only be enrolled in one school for a
particular course of study during any given time period.
Histoiy Note: Authority- G.S. 88-23: 88-30:
Eff. Eebruaiy 1. 1976;
Amended Eff. April L 1999; August 1, 1998; April 1, 1991;
January 1. 1989; April 1. 1988.
SUBCHAPTER 14N - EXAMINATIONS
SECTION .0100 - GENERAL PROVISIONS
.0103 GENERAL EXAMINATION INSTRUCTIONS
(a) All candidates scheduled for an examination shall bring:
( 1 ) their social security number;
(2) a form of identification with a current picture;
(3) a kit containing all supplies necessary to perform all
services required by the examination;
(4) a No. 2 pencil: and
(5) the examination notification.
13:11
NORTH CAROLINA REGISTER
December 1, 1998
917
RULES REVIEW COMMISSION
1 his Section contains the agenda for the next meeting of the Rules Review Commission on Thursday. December 17. 1998.
10:00 a. m. . at 130~ Glenwood .4ve.. Assembly Room. Raleigh. AC Anyone wishing to submit written comment on any rule
before the Commission should submit those comments to the RRC staff, the agency, and the individual Commissioners by
.Monday. December 14. 1998, at 5:00 p.m. Specific instructions and addresses may be obtained from the Rules RevieM'
Commission at 919-'^33-2^2 1. Anyone wishing to address the Commission should notif' the RRC staff and the agency at least
24 hours prior to the meeting.
{
RULES REVIEW COMMISSION MEMBERS
Appointed by Senate
Teresa L. Smallwood, Vice Chairman
Jim Funderburke
Vemice B. Howard
Piiilip O. Reduine
Da\ id T\\idd\
Appointed by House
Paul Powell. Chairman
Anita White. 2'"' Vice Chairman
Mark Garside
Steve Rader
Georae Robinson
RULES REVIEW COMMISSION MEETING DATES
December 1 7. 1 908 Januan. 2 1 . 1 QQ9
RULES REVIEW COMMISSION
October 22, 1998
MINUTES
The Rules Revie\s Commission met on October 22. 19Q8. in the AssembK Room of the Methodist Building. 1307 Glenwood Avenue, fl
Raleigh. North Carolina. Commissioners in attendance were Chainnan Paul Powell. Stephen P. Rader. George S. Robinson. Da\ id
R. Twidd\. Vemice B. Howard. Jim R. Funderburk. Anita A. White, and Mark P. Garside.
Staff members present were: Joseph J. DeLuca. Staff Director: Bobbv Brvan. Rules Review Specialist; and Sandv Webster.
The follow ing people attended:
Noah H. Huffstetler
Jim Wellons
Ben Dean
Lee Hoffman
Jackie Herbster
EmiK Lee
Dedra Alston
Shirley Bullard
Jackie Sheppard
Richard Moore
Lars Nance
Jessica Gill
Charles Jones
Shamese Ransome
Portia Rochelle
Kris Horton
Ed Nomian
Scott Perry
Lisa Thompson
Kilpatrick Stockton
JUSTICE'DHHS
Smith Helms Mulliss & Moore
DHHS DFSCON
Kilpatrick Stockton
Transportation
DENR
DHHS Division of Public Health
DHHS DFS
DHHS Controller's Office
JUSTICE/Wildlife Resources Commission
DENR Coastal Resources Commission
DENR/Coastal Resources Commission
DHHS/Social Services
DHHS/DMA
DHHS/Social Ser\ ices
DENR
JUSTICE/Criminal Justice Standards
JUSTICE/Criminal Justice Standards
(
APPROVAL OF MINUTES
918
NORTH CAROLINA REGISTER
December I, I99S
13:11
RULES REVIEW COMMISSION
The meeting was called to order at 10:05 a.m. with Chairman Powell presiding. He asked for any discussion, comments, or
corrections concerning the minutes of the September 1 7, 1998 meeting. There being none, the minutes were approved.
FOLLOW-UP MATTERS
12 NCAC 1 1 .0501, .0502, .0504, and .0505: JUSTICE/NC Alarms Systems Licensing Board - Rule .0501 was withdrawn by the
agency and the rewritten rules submitted for .0502, .0504, and .0505 were approved by the Commission.
14A NCAC 7 .0313: CRIME CONTROL AND PUBLIC SAFETY - The rewritten rule submitted by the agency was approved by
the Commission.
15A NCAC 7H .1705: DENR/Coastal Resources Commission - The rewritten rule submitted by the agency was approved by the
Commission.
15A NCAC 13B .1624: DENRy'Commission for Health Services - No response was received from the agency on this rule.
19A NCAC 2D .0816: DEPARTMENT OF TRANSPORTATION - The rewritten rule submitted by the agency was approved by
the Commission.
LOG OF FILINGS
Chairman Powell presided over the review of the log and all rules were unanimously approved with the following exceptions:
4 NCAC 3B .0101 : COMMERCE/Banking Commission - The Commission objected to this rule due to lack of statutor\ authority
and lack of necessity. Paragraphs (b) an'^; (d) are not consistent with G.S. 1 50B-20 and thus there is no authorit)' for them. If they
were consistent. the\ would repeat the statute and be unnecessary.
4 NCAC 3B .0102: COMMERCE/Banking Commission - The Commission objected to inis rule due to lack of statuton,' authority,
ambiguity, and lack of necessity. Paragraph (a) is not consistent with G.S. 1508-21. 2 and if it were it would be unnecessary,' because
it would repeat the statute. In (c). it is not clear when the agencx will publish in three newspapers.
4 NCAC 3B .0103: COMMERCE/Banking Commission - The Commission objected to this rule due to lack of statutory authority.
In (b), there is no authority cited for requiring 10 days notice to make an oral presentation. "Good cause" also is not the specific
guidelines necessary for an agency to waive a rule pursuant to G.S. 150B-I9(6) in (b) or (c). Paragraph (e) is not consistent with G.S.
150B-2 1.2(f). Paragraph (h) is not consistent with G.S. 150B-2 1.2(h) b\ limiting requests to persons it defines as "interested" and
requiring the request to be in writing. Paragraph (i) is not consistent with G.S. 150B-21 .2(i).
4 NCAC 3H .0002: COMMERCE/Banking Commission - The Commission objected to this rule due to lack of statutory authority.
The S3. 000 application fee in (2) is not consistent with the $5,000 application fee set in G.S. 53-21 1(a).
The remaining rules from the Banking Commission were withdrawn b\ the agency.
10 NCAC 3 R .6112: DHHS Medical Care Commission - The Commission objected to this rule due to lack of statuton.' authority and
necessitN'. The Commission determined that there is no authority for the agencN to predetermine from whom applications can be taken
and the rule is not necessary for the agency to perform its statutory fiinction. Commissioners Rader, Funderburk, and Howard voted
not to object to the rule.
12 NCAC 9B .0301 : JUSTICE/Criminal Justice Education & Training Standards Commission - The Commission objected to this
rule due to lack of statutor> authorit} and necessity. Unless there are instructors or certifications still subject to (b). it appears to be
unnecessary (beyond an> historical significance) and should be deleted. There is no authority for the provision in (d) requiring
instructors to meet any continuing education courses "deemed necessary and appropriate b\ the Commission" unless these
requirements are set out in rules. If this requirement refers to "instructor updates" set out in other rules, then that is not clear. There
is actually no authority cited for requiring any continuing education or recertification for instructors in general, although there is for
instructors for "radio microwave, laser, and other electronic speed-measuring instruments." G.S. 17C-6( 12).
12 NCAC 9B .0603: JUSTICE/Criminal Justice Education & Training Standards Commission - The Commission objected to this rule
due to lack of statutory authority. There is no authority to incorporate by reference an agency's own manual, as set out in (b) or to
require compliance with it. as set out in (a).
13:11 NORTH CAROLINA REGISTER December L 1998 919
RULES REVIEW COMMISSION
15A NCAC 6E .0105: DENR,/Soil and Water Conservation - This rule was withdrawn b\' the agency.
15A NCAC lOF .0301: DENR/Wildlife Resources Commission - The Commission objected to this rule due to lack of statutorv'
authoritx. There is a waiver provision in (g)( 1 ) allowing the Executive Director of the WRC to permit enclosed swimming areas to
exceed 5000 square feet. There are no guidelines specified, as required by G.S. 1508-19(6). for exercising that waiver.
15A NCAC 16A .0101 : DENR/Commission for Health Services - The Commission objected to this rule due to lack of necessity.
There are no substantive requirements, prohibitions, or allowances in this rule.
15A NCAC 18A .2522: DENRv Commission for Health Services - The Commission objected to this rule due to lack of statutory
authority. There is a waiver provision in (g) but there are no specific guidelines for exercising the waiver.
15A NCAC 18A .2537: DENR Commission for Health Services - The Commission objected to this rule due to lack of statutory
authoritv. There is no authority cited for the provision in (c) requiring a s\\ imming pool operator to meet certain educational criteria.
There are also no standards cited for approving "a course of instruction" referred to in (c).
I5A NCAC 18A .2804: DENR' Commission for Health Services - The Commission objected to this rule due to ambiguity. It is
unclear what is meant bv or who are meant by "...sources that are regulated b\ ..." in (a). It is unclear how a child care center is to
make this determination. v\hat their responsibilitv is in attempting to make this determination, and hov\ to determine if thev have
complied. Compare this paragraph to (f) which is prettv straight forward.
15A NCAC 18A .2808: DENR' Commission for Health Services - The Commission objected to this rule due to ambiguitv. It is
unclear what constitutes an "approved source" for ice or how that is determined.
I5A NCAC 18A .2827: DENR/' Commission for Health Services - The Commission objected to this rule due to lack of statutory
authority. In (c) there is a provision for the department to approve "partition, screen or other means..." to separate a sick child. TTiere
are no standards set for such approval and thus no authority for this provision, i ne that when it was the Environmental Health
Specialist, a local official and one outside the control of the agencv. then it v\as acceptable for that official to make its own individual
decision without any written guidelines or rules.
15A NCAC 18A .2833: DENR' Commission for Health Services - The Commission objected to this rule due to ambiguitv. It is
unclear in (b) what constitutes a swimming or wading pool that is a "permanent structural feature" of the child care center.
21 NCAC 32F ,0003: NC MEDICAL BOARD - This rule was returned to the agencv for failure to complv with the APA which
requires a 15 day notice period.
DIRECTOR'S REPORT
Elections are tentative!) scheduled for next month. The Commissioners approved a lease for the same office space for another vear.
COMMISSION PROCEDURES AND OTHER MATTERS
The next meeting will be on November 19, 1998.
The meeting adjourned at 12:55 p.m.
RespectfulK submitted.
Sandv Webster
92n NORTH CAROLINA REGISTER December I, 1998 13:11
CONTESTED CASE DECISIONS
1 his Section contains the full text of some of the more significant Administrative Law .Judge decisions along with an index
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the
decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of
Administrative Hearings. (919) 733-2698. Also, the Contested Case Decisions are a\-ailablc on the fnlernet at the following
address: http: www.siate.nc.us OAH hearings decision caseindex.htm.
OFFICE OF ADMINISTRATIVE HEARINGS
Chief Administrative Law Judge
JULIAN MANN. Ill
Senior .Administrative Law Judge
FREDG. MORRISON JR.
ADMIMSTRATII E LAU Jl DGES
Sammie Chess Jr.
Beecher R. Gray
Melissa Owens
Meg Scott Phipps
Robert Roosevelt ReilK Jr.
Dolores O. Smith
.4GENCV p.
.ALCOHOLIC BE\ ERAGE CONTROL COMMISSION
.Alcoholic Bc\eragc Control Commis.sion v Kenneth .lerome
Alcoholic Bexerage Control Commission \ Jesse Jacob Joyner Jr
Alcoholic Bexerage Control Commission x Trade Oil Companx. Inc
Alcoholic Bexerage Control Commission \ Pantana Bohs. Inc
Alcoholic Bexerage Control Comm x Partnership T/.A C & Js Shipxxreck
Alcoholic Bexerage Control Commission x Axis Entertainment
Sokha Huor Ramadneh x Alcoholic Beverage Control Commission
Alcoholic Bexerage Control Commission x Delores \\ illiams AInaqih
Alcoholic Bexerage Control Commission x A\is Entertainment
.Alcoholic Bexerage Control Commission x James .Aubrex Stephenson
.Alcoholic Bexerage Control Commission x Bridgette Dee Williams
Alcoholic Bexerage Control Commission x Robert Lee, Inc
Alcoholic Bexerage Control Comm x Partnership. T/A Variet\ Pic Up #21
Tarus Jackson x Alcoholic Bexerage Control Commission
Alcoholic Bexerage Control Comm \ Simple Elegance Restaurants, Inc
Alcoholic Bexerage Control Comm x Daniel Hinton Green
Alcoholic Bexerage Control Comm v Zaheer Ahmad Bajxxa
BOARD OE ( ONTRACTORS
Heritage Pointe Builders. Inc & Patrick Hannon \ Bd ofConlractors
CRIME C ON TROL AND PI BLIC SAFET\
Loretta Battle x Crime Victims Compensation Commission
Cynthia Austin x Crime Victims Compensation Commission
Marcella Skaggs x Crime Victims Compensation Commission
Talmadge E McHenry x Crime Victims Compensation Commission
Linda Caldxxell Wiggins x Crime Victims Compensation Commission
Kenneth T L\lle x Crime Victims Compensation Commission
Shirlex Henrxhand v Crime Victims Compensation Commission
Brenda Jean Thomas x Crime Victims Compensation Commission
Tarexlon L Johnson x Crime Victims Compensation Commission
Mia Thompson-Clark x Crime Victims Compensation Commission
Godfrex Akenabor x Crime Victims Compensation Commission
Rutiis K \\ illiams x Department olXrime Control & Public Saletx
C VSL
DM L ay
HI BIlSHLDDEf ISION
NLMBER
ALJ
DECISION
RLCISTLRdlATION
97 ABC \2()>
Phipps
07/23/98
97 ABC 14.^8
Phipps
06/19/98
'JS ABC 003.1
Reillx
08/21/98
^» ABC 0293
Reilllx
09/17/98
13 II NCR 933
98 ABC 0296
Morrison
08/19/98
98 ABC 03.^7*'
Reillx
07/02/98
98 ABC 0382
Smith
06/30/98
13 03 NCR 350
98 ABC 0392
Chess
07/30/98
98 ABC 0401 »■
Reilly
07/02/98
98 ABC 0494
Chess
09/01/98
98 ABC 0501
Reillx
08/11/98
98 ABC 05 18
Grax
08/11/98
98 ABC 07 1 4
Morrison
10/09/98
98 ABC 0768
Smith
07/13/98
98 .ABC 0850
Phipps
10/26/98
98 ABC 0889
Morrison
11/06/98
98 ABC 0960
Oxxens
10/30/98
97 LBC 0243
Phipps
08/17/98
97 CPS 0654
Grax
08/10/98
97CPS 1499
Reillx
08/12/98
1 3 05 NCR 533
98 CPS 0065
Oxxens
06/05/98
98 CPS 01 16
Grax
06/24/98
98 CPS 01 53
Chess
08/27/98
98 CPS 0176
Reillx
07/06/98
98 CPS 0263
Morrison
08/11/98
98 CPS 0314
Morrison
08/11/98
98 CPS 0327
Reillx
09/02/98
98 CPS 0349
Chess
05/14/98
98 CPS 0427
Oxx ens
10/30/98
98 CPS 0676
Morrison
1 0/23/98
13: II
NORTH CAROLINA REGISTER
December 1, 1998
921
CONTESTED CASE DECISIONS
AGENO
Faye E Powell v Crime Victims Compensation Commission
Huben Lee Grant v Crime Victims Compensation Commission
Mar. Elizabeth Troutman v Crime Victims Compensation Comm
Brenda H Alston \ Crime Victims Compensation Commission
Shiries P Chen \ Crime Victims Compensation Commission
ENMRONMENT AND NATl RAL RESOl RCES
Ladane Williamson and Odell Decarol Williamson v DENR
Teresa Hef in \ Department ot'EnMronment and Natural Resources
Ronald Prater v Department of Environment and Natural Resources
James F Smith v Department of Environment and Natural Resources
William Hickman v Department of Environment and Natural Resources
Hickorv Alliance v Department of Environment and Natural Resources
and
Godt'rev Lumber Companv. Inc
John M Silv la \ Department of En\ ironment and Natural Resources
Godfrev Lumber Companv. Inc v Dept /Environment & Natural Resources
and
Hickorv Alliance
Oregon. B Jackson. Brenda R Jackson v Greene Ct\ HIth Dept . ENR
Robert G GotT. Sr \ Department of Environment and Natural Resources
Scotland Water, Cedar Circle \ Environment and Natural Resources
Wbmble & Companv v Dept of Environment and Natural Resources
Eric Glenn Harrison v Environment and Natural Resources
Robert G GotT. Sr \ Department of Environment and Natural Resources
Wilbur E Earp \ Department of En\ ironment and Natural Resources
NorellBahrsv Carteret Ct\ Health Dept , DENR
Charles Davis v Department of Environment and Natural Resources
Division of Coastal Management
Preston Warren v Division of Coastal Management. Wilmington. NC
Division of Environmental Health
Gerald P Sigal v DENR. Division of Environmental Health
Division of Environmental Management
Save Our Rivers. Inc - et Si V Town of Highlands. EHNR. Env Mgmt .
William W Cohev. Jr. Secretarv
US Dept of the Interior Natl Park Svce. v. Environmental Mgmt. Comm
Division of Marine Fisheries
Ladv LaShanda Melvin Brvant v EHNR. Division of Marine Fisheries
Gerald Moore, et al s DENR. Division of Marine Fisheries
Division of Solid fl aste Management
Steve Aldndge. et al \ DENR. Di\ ision of Solid Waste Management
Division of (( ater Quality
Ravmond I. Martin \ DENR. Division of Water Qualm
Worslev Oil Companies. Inc v DENR. DWQ Groundwater Section
Silver Bullet. Inc \ DENR. Division of Water Qualitv
HEALTH AND HI NLAN SER\ K ES
Sianlev C Ochulo V OtT/Administrative Hearings. Mr R Marcus Lodge
Oliver C Johnson. Hazel T Johnson v Health and Human Services
Louise Streater v Health and Human Sen ices
Richard E Lavvience. Rebecca , A Lavvience v Health and Human Services
John Da\ id Brinson \ Depanment of Human Resources
Stephanie Wade v Department of Health and Human Services
Carolyn L Freeman v Depanment oi Human Resources
Otis L Mack. Jr V Office of .Administrative Hearings
Christopher Germano. Lee Germano v Department of Health
E Jean Woods v EDS - Medicaid
Division of Child Development
Dulatoun Presbvlerian Children's Ctr v DHHS. Child Development
Cassandra Mvers v Di\ ision of Child Development
Dulatown Presbvlenan Children Ctr v DHR. Child Development
Doras Child Development Center v Mecklenburg Ct\ DSS. and DHR
Division of Facility Services
Pearlie W Lavvson \ DHHS. Facility Svcs . Health Care Personnel Reg
Annie K Morgan v Health &. Human Sen ices . Facility Sen ices
Mooresvillc Hospital Mgmt .Associates. Inc db a Lake Norman Regional
CASE
MMBER
AU
98 CPS 0808
Owens
98 CPS 0839
Morrison
98 CPS 0901
Smith
98 CPS 0952
Phipps
98 CPS I0I5
Phipps
96EHR 1926
Grav
97 EHR 0409
Morrison
97EHR045I
Reilly
97 EHR 1365
Chess
97 EHR 1388
Grav
97 EHR 1607
Reillv
97 EHR 1646
Chess
97 EHR 1676
Reillv
98 EHR 0042
Reilh
98 EHR 0072'-
Gray
98 EHR 0236
Smith
98 EHR 0345
Chess
98 EHR 0373
Reillv
98 EHR 0448*-
Grav
98 EHR 0606
Smith
98 EHR 0884
Owens
98 EHR 0890
Owens
98 EHR 01 77
Phipps
98 EHR 0051
Smith
91 EHR 0377
Gray
98 EHR 0410
Smith
97 EHR 1459
Grav
98 EHR 0322
Owens
98 EHR 0665
Chess
98 EHR 0590
Grav
98 EHR 0735
Chess
98 EHR 0931
Chess
98 DHR 0021
Reillv
98 DHR 0090
Gray
98 DHR 01 96
Gray
98 DHR 0209
Phipps
98 DHR 0369
Owens
98 DHR 0666
Reilh
98 DHR 0721
Grav
98 DHR 0729
Phipps
98 DHR 0780
Owens
98 DHR 1118
Gray
98 DHR 0654
Gray
98 DHR 0948
Owens
98 DHR 1112
Morrison
98 DHR 1184
Phipps
97 DHR 1034
Becton
97 DHR 1046*
Phipps
97 DHR 1209
Reillv
DATE OF
DECISION
08/28/98
10/21/98
II/I2/98
1 1 /1 0/98
09/17/98
09/01/98
07,'29/98
07/02/98
07/17/98
11/06/98
07/17/98
06/03/98
07/1 7/98
07/02/98
06/25/98
06/09/98
11/05/98
08/28/98
06/25/98
10/21/98
1 1 /02/98
11/09/98
10/05/98
10/02/98
07/30/98
08/20/98
07/20/98
10/08/98
09/09/98
09/21/98
08/24/98
08/20/98
06/24/98
07/08/98
06/03/98
07/15/98
08/1 7/98
08/19/98
08/05/98
09/09/98
07/28/98
10/26/98
08/06/98
09/03/98
10/16/98
09/25/98
07'30/98
07/23/98
06/23/98
PI BLISHED DECISION
REGISTER CITATION
13.I0NCR 853
13.07 NCR 609
13 11 NCR 928
I
i
13:06 NCR 578
13:09 NCR 797
13:07 NCR 617
(
922
NORTH CAROLINA REGISTER
December 7, 1998
13:11
CONTESTED CASE DECISIONS
AGENO
CASE
NliMBER
ALJ
DATE OF
DECISION
PI BLISHED DECISION
REGISTER CITATION
Medical Center V DHR. Facilm Services. Cenificate of Need Section
and
Autumn Corporation and McKinley V Jumes
Warren Moore & Catherine Moore \ DHR. Di% of Facilm Senices
Constellation Health Sersices. Inc and Constellation Senior Sersices.
Inc V DHR. Facility Sen ices. Group Care Licensure Section
and
Diversified Health Group. LLC and The Innovative Health Group. Inc
Dialysis Care of NC. LLC. d/b/a Dialysis Care of Rowan County
V DHR. Division of Facility Sen ices. Certificate of Need Section
V Biomedical Applications of NC. Inc d/b/a BMA of Kannapolis d/b/a
Metrohna Kidne\ Center of Rannapolis (Lessee) and Metrolina Nephrology
Associates. PA (Lessor)
Robin .Annene Reavis \ Health and Human Svcs.. Div. of Facility Svcs
Jennifer Blofeld v DHHS. Facility Svcs . Health Care Personnel Registn
Sunliie Retirement Home. Winnie Jane Johnson v DHR. Facility Sen ices
Helen Shokoti v Health and Human Sen ices. Div of Facility Sen ices
Ann Davis Rest Home \ Group Care Licensure Section
Diane Lingard \ DHR. Facilin. Svcs. Health Care Personnel Reg
KimberK .Annette Smith Hull \ DHHS. Division of Facility Sen ices
Deborah .A.nn Holt \ DHHS. Division of Facility Sen ices
Tern Michelle Tyler \ Health & Human S\cs. Di\ of Facility Sen ices
Dons Jones Holmes \ DHHS. Facility S\cs. Health Care Personnel Reg
Annie K Morgan \ Health & Human Senices . Facility Senices
Shirlev Bouling x DHHS. Facihn Senices. Health Care Personnel Reg
Johnnie E Williams \ DHHS. Division of Facility Senices
Christy Jeton Hall \ DHHS. Division of Facility Senices
Latonia Denise Thomas v DHHS. Division of Facility Senices
Tracey Deirde Gallouav \ DHHS. Facility Svcs . Health Care Per Reg
Rose Mane Hadle\ \ DHHS. Division of Facility Senices
Division of Medical Assistance
Charlotte- .Mecklenburg Hospital Authority, d/b/a Carolmas Medical Ctr.
and Harp. Mahannah. M D \ DHHS. Division of Medical Assistance
.Alic F Schneider. Julia R Hammonds v DHHS. Medical Assistance
Division of Social Services
William & Crystal Steaklev \ DHHS. Dnision of Social Senices
Raji Abdus-Salaam \ Department of Human Resources. DSS-DCA
Child Support Enforcement Section
Robert H Black \ Guillbrd County Child Suppon Enforcement
Dorman E Drake v Department of Human Resources
Garry R McNeill v Department of Human Resources
Robert Alan Da\ is \ Department of Human Resources
Michael W White v Department of Human Resources
Troy R- Emmons. Jr \ Department of Human Resources
Man in A. Pike v Department of Human Resources
Mars Putnam .Aven. \ DSS. Durham County Child Suppon Entbrcement
Gilbert G Gra\ \ Department of Human Resources
Herben Leon Sellers \ Department of Human Resources
David W Da\ is \ Department of Human Resources
Dale W Hutchinson \ Department of Human Resources
Joe A Lsnch \ Department of Human Resources
Kenneth Eugene Scott \ Department of Human Resources
Mark Owens Frink \ Department of Human Resources
Jeffery LeeGra\es\ Department of Human Resources
Donald L Carr. Jr \ Depanment of Human Resources
Man in Diggs \ Department of Human Resources
Michael Patrick D\me \ Department of Health & Human Senices
Sherman L .Arnold Sr \ Depanment of Health & Human Senices
Dennis Lee McNeill \ Depanment of Human Resources
BvronO .Ashby 11 \ Depanment of Human Resources
Hubert L Momson \ Depanment of Human Resources
Robert .Alan Da\ is \ Department of Human Resources
Larrv S Robinson \ Child Suppon Enforcement .Agency
Darn I C Thompson v Depanment of Health & Human Senices
Darn I C Thompsons Depanment of Health & Human Senices
Michael Anthony Hill \ Depanment of Human Resources
Joseph L Hill \ Department of Human Resources
Michael .A Wilder \ Department of Human Resources
Bills Anthony Jr s Depanment of Human Resources
Alton D Bagles s Depanment of Human Resources
Bemel B Berry Jr s Depanment of Human Resources
97 DHR 1279
97 DHR 1529
97 DHR 1588
Mann
Grav
Phipps
09/08/98
06/24/98
08/31/98
97 DHR 1672
Reilly
08/12/98
98 DHR 0096
Gray
08/21/98
98 DHR 0124
Phipps
06/11/98
98 DHR 0173
Chess
08/26/98
98 DHR 0197
Phipps
06/23/98
98 DHR 02 14
Becton
06/22/98
98 DHR 0239
Phipps
06/23/98
98 DHR 0348
Phipps
06/22/98
98 DHR 0458
Gray
08/21/98
98 DHR 0463
Gray
08/21/98
98 DHR 0496*'-
Phipps
07/23/98
98 DHR 0547
Gra\
11/09/98
98 DHR 0639
Reiily
07/02/98
98 DHR 0706
Gray
10/12/98
98 DHR 0809
Gray
10/23/98
98 DHR 0824
Gray
09/24/98
98 DHR 0970
Smith
10/08/98
97 DHR 062 1
Smith
07/08/98
98 DHR 0994
Momson
10/29/98
98 DHR 0076
Gray
07/20/98
98 DHR 0771
Ossens
07/30/98
96CRA 1548
Mann
10/09/98
96CRA 1717
Smith
08/25/98
96 CRA 1 743
Reilly
10/22/98
96CR.A 1781*'
Phipps
08/20/98
96 CRA 1784
Gras
09/25/98
96 CRA 1798
ReilK
08/25/98
96CR.A 1814
Chess
09/24/98
96 CRA 1 849
Momson
09/01/98
96CR.A 1858
Momson
10/08/98
96CR.A 1932
Smith
11/06/98
96 CRA 1976
Smith
11/06/98
96CR.A 1981
Mann
08/26/98
97 CRA 0045
Phipps
10/09/98
97 CRA 1232
Chess
11/06/98
97 CR-A 1 524
Mann
10/09/98
98 CRA 0137
Becton
06/23/98
98 CR,A 0545
Reills
06/08/98
98 CR.A 0588
Reills
06/24/98
98 CR,A 0787
Gras
09/17/98
98 CR,A 1 1 52
.Mann
10/28/98
96CSE 1305
Gras
06/22/98
96CSE 1435
Mann
07/15/98
96CSE 1649
Reills
08/12/98
96CSE 1780*"
Phipps
08/20/98
96CSE 1848
Gray
11/05/98
96CSE1854*"
Chess
09/01/98
96CSE 1902*"
Chess
09/01/98
96CSE2028
Mann
08/26/98
97 CSE 0624
Chess
11/06/98
97CSE 1301
Chess
07/17/98
97 CSE 1393
Reilly
06/24/98
97 CSE 1424
Chess
06/02/98
97 CSE 1435
Smith
06/12/98
13:1J
NORTH CAROLINA REGISTER
December 1. 1998
923
CONTESTED CASE DECISIONS
AGENCY
Darn. I Simpkins v Department of Health & Human Services
Anthonx Momgomen. \ Department of Human Resources
Joseph Gerard McPhilhps \ Department of Human Resources
Terri Letterman \ Department of Human Resources
WilhamE Mmes \ Department of Human Resources
Christopher Alan \ Department of Human Resources
Annette Chipman \ Department of Human Resources
Paul J Moble>.Jr\ Department of Human Resources
Alvin G Piper \ Department of Health & Human Services
Robert A Sherer\ Department of Human Resources
Rodne\ A Morrison \ Department of Human Resources
Gregop. Andre Broun \ Department of Health & Human Services
Rodger Hazen il \ Department of Human Resources
Wade A Burgess \ Depanment of Human Resources
Roben L Robinson \ Depanment of Human Resources
Jamie A Hum \ Depanment of Health & Human Services
Renardo Jenkins v Department of Human Resources
Anthonv Lovev Depanment of Human Resources
Steven Kent Gold v Depanment of Human Resources
Lerov J Poole v Depanment of Human Resources
Hoval A McLean v Depanment of Health & Human Ser^ices
Michael Bernard Hill \ Department of Health &. Human Sen ices
Charlie RatlitTJr v Depanment of Health & Human Services
Donald W Lee v Depanment of Health & Human Services
Bobbv D Cook \ Depanment of Health & Human Services
John B Hall V Depanment of Human Resources
Demck A Brinion v Department of Human Resources
Tabatha D Pate v Department of Human Resources
Amanda F Blount v Depanment of Human Resources
Gregorv Cartv (IV =15642061 v Depanment of Human Resources
Gregorv Cartv il\' = 15641661 v Department of Human Resources
John L Bullard V Department of Human Resources
Frank A Conon v Depanment of Human Resources
Charlie Gray Hunt Jr v Depanment of Human Resources
Willie R Crtise v Department of Health & Human Services
Thomas H Lotze. Jr v. Depanment of Health & Human Services
Robert L Williams v Department of Human Resources
Patrick Bass \ Depanment of Health & Human Sen ices
Tauanna Wheeler v Department of Health & Human Sen ices
Timothv Kinnev v Depanment of Health & Human Sen ices
Teresa L Gallovvav v Depanment of Health & Human Sen ices
Nlichael A Looperv Depanment of Health & Human Sen ices
Kenneth E Strickland v Department of Health & Human Sen ices
Hovi H Bunt Jr v Department of Health & Human Sen ices
\'emon Reginald Pinknev v Depanment of Health & Human Sen ices
Elijah G Deans v Department of Health & Human Sen ices
James Howard Alexander v Department of Health &i Human Sen ices
Lee J Coggins v Depanment of Human Resources
Mark J Houlbrook v Depanment of Health & Human Sen ices
Henrv A Harriel. Jr v Depanment of Health & Human Sen ices
Deniira JetTnes v Department of Health & Human Sen ices
Bnan L Barksdale v Depanment of Health & Human Sen ices
Karen Mitchell \ Depanment of Human Resources
\'ickie E Lane vMichael L Adams. Depanment of Human Resources
Carla P Robinson v Depanment of Human Resources
Rachel D Farmer v Depanment of Health & Human Sen ices
Janice Scott Padgett i Fisher i v Department of Human Resources
Barbara Fama-Blandine v Department of Human Resources
Sharon Brim v Depanment of Health & Human Sen ices
Terita M Sharpe v Depanment of Human Resources
Ruth McFadden v Department of Human Resources
Division of Women's and Children's Health
Khamis A Sirhan v DHHS. Womens Children's Health. Nutrition Svcs
Joseph A, Navvas v DHHS. Women's Children's Health. Nutrition Svcs
Evelvn Powell v Nutrition Senices Section
JISTICE
James Todd Tippel v NC Companv Police Program
Alarm Systems Licensing Board
Claude David Hu22ins v .Alarm Sv stems Licensing Board
CASE
DATE OF
MMBER
ALJ
DECISION
97CSE 1436
Chess
08/11/98
97CSE 1442
Phipps
06/17/98
97CSE1467
Mann
10/09/98
97CSE 1492
Smith
06/22/98
97 CSE 1 527
Mann
09/08/98
97CSE 1544
Chess
10/16,'98
97 CSE 1545
Phipps
07/23/98
97 CSE 1568
Phipps
06/17/98
97 CSE 1599
Phipps
11/10/98
97 CSE 1605
Mann
07' 15/98
97 CSE 1611
Grav
10/23/98
97 CSE 1656
Grav
08'27/98
97 CSE 1666
Chess
07/17/98
98 CSE 0071
Mortison
06' 12/98
98 CSE 0130
Reilly
07' 15/98
98 CSE 0307
Mom son
07/06/98
98 CSE 0310
Smith
06/23/98
98 CSE 03 12
Phipps
06/23/98
98 CSE 0333
Morrison
07/01/98
98 CSE 0375
Reilly
07/02/98
98 CSE 0420
Smith
07/29/98
98 CSE 0421
Becton
07/15/98
98 CSE 0449
Mann
07/15/98
98 CSE 0469
Grav
11/09/98
98 CSE 0483
Reillv
10/06/98
98 CSE 0506
Chess
07/20/98
98 CSE 0555
Smith
08/07/98
98 CSE 0556
Becton
06/23'98
98 CSE 0560
Chess
07/29/98
98 CSE 0561*''
Phipps
09/23/98
98 CSE 0562*-
Phipps
09,'23/98
'58 CSE 0569
Momson
08/06/98
" CSE 0578
Gray
10/08/98
98 CSE 0607
Smith
06/22/98
98 CSE 0653
Mann
08'26/98
98 CSE 0658
Phipps
08/31/98
98 CSE 0682
Smith
06/22/98
98 CSE 0689
Owens
09/18/98
98 CSE 0691
Owens
10/09/98
98 CSE 0728
Smith
09/17,'98
98 CSE 0769
Becton
07/30'98
98 CSE 0783
Chess
09/08/98
98 CSE 0817
.Mann
09/08/98
98 CSE 0818
.Momson
09/15/98
98 CSE 0833
Owens
07/29/98
98 CSE 0867
Phipps
07,'20/98
98 CSE 0869
Reilly
08/06/98
98 CSE 0894
Smith
08/20/98
98 CSE 0949
Smith
09/08/98
98 CSE 0975
Chess
09/01/98
98 CSE 1036
Momson
09/15/98
98 CSE 1052
Momson
10/09/98
98 CSE 1095
Reilly
10/06 '98
96 DCS 2105
Gray
07/08/98
97 DCS 0124
Reiily
11/10,'98
97 DCS 0251
Phipps
08/31 '98
97 DCS 1219
Smith
07/29/98
97 DCS I486
Momson
06/22/98
97 DCS 1574
Gray
08/04/98
98 DCS 0468
Momson
06/09/98
98 DCS 0675
Reiily
07/ 15 '98
98DHR02I9
Reilly
08/11/98
98 DHR 0637
Phipps
07/02/98
98DHR 1135
Smith
11 13/98
97DOJ 1368
Phipps
09/10 98
98DOJ0871
Momson
07/09'98
PI BLISHED DECISION
REGISTER CITATION
i
i
i
Auctioneer Licensing Board
924
NORTH CAROLINA REGISTER
December 1, 1998
13:11
CONTESTED CASE DECISIONS
AGENO
Wiley R Tyndall v Auctioneer Licensing Board
Gavin Havi\' Abadi v Auctioneer Licensing Board
Education and Training Standards Division
Thomas Dwayne Brown \ Sheriffs' Education & Training Standards Comm
Kenneth Joseph Jackson \ Sheriffs' Education & Training Standards Comm
Odis Fitzgerald Darden v SheritTs' Education & Training Standards Comm
Kenneth Earl Brantte\ v Criminal Justice Ed & Training Stds Comm
Hoyle Kenneth Wise. Jr v Sheriffs' Education & Training Standards Comm
Hearl Oxendine v Criminal Justice Education & Training Stds Comm
James Farrell Roberts v Criminal Justice Education & Training Stds. Comm
Phillip Keith McPherson \ Sheriffs' Education & Training Standards Comm
Dar\l LaMar Bryant \ Sheriffs' Education & Training Standards Comm
Harold F Esters \ SheritTs' Education & Training Standards Comm
William Scott Key v Sheriffs' Education & Training Standards Comm
Cecil W Duke, Jr v Criminal Justice Education & Training Stds Comm
Amado Martinez v Criminal Justice Education & Training Stds Comm
Johnn\ Wayne Wills v Criminal Justice Education & Training Stds Comm
James E Ellerbe v Sheriffs' Education & Training Standards Comm
Paul Harvey Taylor \ DOJ. Criminal Justice Ed & Training Stds Comm
Kenneth Joseph Jackson \ SheritTs' Education & Training Standards Comm
Robert R\an Hardison \ Sheriffs' Education & Training Standards Comm
Trace> Jerome Clark \ SheritTs' Education & Training Standards Comm
Ke\ in Lamar Dorsey v Sheriffs' Education & Training Standards Comm
Willoughby McCormick. Jr v SheritTs' Ed & Training Standards Comm
Private Protective Services Board
Claims Verification. Inc v Private Protective Ser\ ices Board
Walter R Shirer \ Private Protective Serv ices Board
Stace> L Williams \ Private Protectne Ser\ ices Board
Eugene Norman Garrett \ Private Protective Sen ices Board
Dann\ Charles Garrett \ Private Protective Services Board
Alfred D Malson v Private Protectne Ser\ices Board
Rodnex Hamilton Marsh \ Private Protective Services Board
Mel\ in Eugene Davis v Private Protectne Sen ices Board
Glen Leon Fitchette \ Private Protective Sen ices Board
LABOR
Hildreth Mechanical & Maintenance v Labor/Labor Standards
Labor World. Eric Feinstein v Labor. Hany E Pa\ne. Jr
BOARD OF MEDICAL EXAMINERS
Joe D Crawford. M.D \ Medical Bd oINC Bd of Medical Examiners
PI BLIC INSTRICTION
Linda & Dann\ Howard for Nikki Howard v DHHS. Murdoch Center
George & Ruth Sinclair for Adam Sinclair \ Wake Counn Schools
(Special Education Sen ices)
Nicholas Eirschele. Bv and Through! His Parents. Charles & Kathleen
Eirschele\ Craven Count\ Board of Education
Dewitt Brinson & Elizabeth Brinson \ Craven County Board of Education
Gene Edward Llo\d \ Department of Public Instruction
Mrs Ph\ Ills Y Moore \ Cumberland County Schools
Laney Bruce Hamll \ State Board of Education
L K on behalf of her son. J H . as well as on her own behalf \ St Bd/Ed
Joseph J Sarrerro V Depanment of Public Instruction
M E and her husband. PL . mdiMdualK. and on behalf of their son. C E.
\ Bd ofEd for Buncombe Ct\ a/k/a Buncombe Ct> Public Schools, et al
Linda & Dann\ Howard for Nikki Howard \, Lenoir Ctv Bd of Ed
CASE
DATE OF
PI BLISHED DECISION
NUMBER
ALJ
DECISION
REGISTER CITATION
97 DOJ 1236
Phipps
07/24/98
98 DOJ 1060
Smith
10/21/98
97 DOJ 1319
Phipps
07/29/98
97 DOJ 1578*"
Grav
08/20/98
97 DOJ 1698
Reil'ly
06/12/98
98 DOJ 0046
Gray
11/04/98
13:11 NCR 936
98 DOJ 0022
Smith
07/14/98
98 DOJ 0121
Smith
06/22/98
98 DOJ 0147
Smith
07/16/98
98 DOJ 0388
Reilly
07/24/98
98 DOJ 0430
Gray
07/21/98
98 DOJ 0431
Gray
08/21/98
98 DOJ 0432
Becton
06/08/98
98 DOJ 0479
Chess
10/07/98
98 DOJ 0526
Morrison
09/09/98
98 DOJ 0574
Chess
07/30/98
98 DOJ 0600
Morrison
08/07/98
98 DOJ 0841
Phipps
09/16/98
98 DOJ 0847*"
Gray
08/20/98
98 DOJ 0878
Phipps
09/08/98
98 DOJ 0879
Owens
08/31/98
98 DOJ 0930
Phipps
09/22/98
98 DOJ 1007
Reill)
10/13/98
98 DOJ 0848
Smith
08/04/98
98 DOJ 0937
Morrison
09/17/98
98 DOJ 0938
Morrison
08/18./98
98 DOJ 0939
Morrison
08/18/98
98 DOJ 1081
Morrison
09/17/98
98 DOJ 1141
Morrison
09/29/98
98 DOJ 1142
Owens
11/04/98
98 DOJ 1145
Morrison
09/22/98
98 DOJ 1 307
Owens
11/03/98
98 DOL 0903
Mann
11/04/98
98DOL 1256
Gray
11/05/98
98BME0870
Owens
07/30/98
97EDC 1047
Gray
11/03/98
97EDC 1233
Phipps
08/11/98
97EDC 1234
Phipps
07/16/98
97EDC 1298
Phipps
10/26/98
98EDC0II0
Reilly
09/10/98
98 EDC 0305
Gra\
08/05/98
98 EDC 0350
Smith
09/17/98
98 EDC 0370
Smith
10/14/98
98 EDC 0459
Owens
08/10/98
98 EDC 0566
Gra\
10/01/98
98 EDC 1 047
Grav
1 0/30/98
STATE BAR
Linda R Sharp \ North Carolina State Bar
: BAR 1344
Morrison
11/09/98
STATE PERSONNEL
Department of Correction
Annie D Dizon \ NC Correctional (Inst ) Center for Women
Tern T Rees \ Department of Correction
Mohammad H Baloch. M D \ Department of Correction
Leon Owens \ Department of Correction
Tern T Rees \ Department of Correction
Michael .A Smith v Department of Correction
Michael A Smith \. Department of Cortection
laxneD Bledsoe \ Cortection. Di\ of Adult Probation & Parole
97OSP0I66
Mann
11/06/98
97 0SP 1671*'
Smith
06/30/98
98OSP00I4
Gra\
09/01/98
98 OSP 0050
Becton
07/10/98
98OSP0I19*'
Smith
06/30/98
98 OSP 023 1 * '
Reillv
08/11/98
98 OSP 03 17*'
Reilh
08/11/98
98 OSP 0543
Owens
07/29/98
J3:]l
NORTH CAROLINA REGISTER
December 7, J 998
925
CONTESTED CASE DECISIONS
AGENCY
Carl W Craven. II \ Pender Correctional Institution
ErMn Shaw v Martin Homer. .Asst Super . Corr . Sand> Ridge Corr Ctr
Joseph Szilag\i \ Department of Correction
Dennis S Harrell \ Dept ot'Correction, Caledonia Correctional Institute
Tommy L Hancock v Department ot'Correction
Tommy L Hancock v Department ot'Correction
Bertha Darden \ Rasmond Smith & Dept of Correction. Central Prison
Ruth Mosele\ \ Depanment of Correction
Lamont M Burt \ Department of Correction
Nona W Hubtiard \ DOC. Division of Community Corrections
Robert R Sto\all \ Department of Correction
Crime Control and Public Safety
Roger D Da\ is \ Crime Control & Public Safetv'. St Hwy Patrol
.Alben R- Lmle N Crime Control & Public Safety. Info S\s Specialists
Thomas E. Carlton \ Crime Control & Public Safety. St H\v\ Patrol
Employment Security Commission
Jane B Bolin and Arlene G Sellers \ Emplo\ment Security Commission
Jane B. Bolin and Arlene G Sellers \ Employment Security Commission
Environment and Natural Resources
Charles .Anthon\ Bruce \ ENR. Division of Parks and Recreation
Health and Human Senices
.Annette Honea \ Department of Human Resources
■Angela M Miles \ Cumberland County Department of Social Services
Shung Fung-Chin \ Department of Human Resources, Caswell Center
Charm Swick v Cumberland County Depanment of Social Senices
■^olandra Best and Ro> Hudson v DHHS. John Umstead Hospital
"t'olandra Best and Ro\ Hudson \ DHHS. John Umstead Hospital
Kenneth Dippel \ Columbus Countv Dept of Social Senices
Fred Foster. Jr \ Department of Health and Human Senices
Shung Fung-Chin \ Department of Human Resources. Caswell Center
Ruth Holrovd v Montgomery Ct\ DSS. Children's Senices
Fred Foster. Jr \ Department of Health and Human Senices
James W Crews \ DHHS. Murdoch Center
Patricia R Quick s DHHS. Dorothea Di\ Hospital
.Angela M Miles \ Cumberland County Depanment of Social Senices
Delores La\ erne Rich \ Health & Human Sen ices. Dorothea Di\ Hosp
Elwin C Munson \ Health & Human Senices. Juvenile E\aluation Center
Fred Foster. Jr v Depanment of Health and Human Senices
Da\id.A Kilpatrick \ Health & Human Senices. Caswell Center
Fred Foster. Jr \ Depanment of Health and Human Senices
Laura Blanton \ Cleveland Center
Anthonv M Ruiz v Depanment of Health & Human Svcs. ^outh Svcs
Rudolph Waters v DHHS. ^buth Sen ices. Dobbs School
Euwell Falconer \ Karen .A .Andrews. Gaston-Lincoln .Area .Mental Health
JetTre\ L Williams \ Dorothea Di\ Hospital
Barbara Jean Paquette \ Durham County (respondeat superior for the
Durham County Public Librars )
Linda Paige \ Center Point Human Sen ices Forsvth Mental Health
Forsvlh Industrial S> stems
Derrick Skinner \ Health & Human Sen ices. Chern Hospital
Department of Justice
Linda Maraaret Ross \ State Bureau of ln\ estimation
Depanment of Public Instruction
Lillie Bumette Pearsall \ Wa\neCt\
Mr Ste\ e Ta\ lor
Bd of Ed . Mrs Veda McNair and
CASE
DATE OF
PIBLISHED DECISION
MMBER
ALJ
DECISION
REGISTER CITATION
98OSP0633
Smith
06/25/98
98OSP067I
Phipps
10/09/98
98OSP0757
Owens
10/05/98
98 OSP 0846
Momson
09/08/98
98OSP088I
Owens
08/04/98
98 OSP 0882
Owens
10/09/98
98 OSP 0905
Smith
09/25/98
98 OSP 1092
Grav
10/07/98
98 OSP 1115
Smith
10/06/98
98 OSP 1214
Owens
10/27/98
98 OSP 1282
Phipps
10/26/98
97 OSP 061 7
Chess
05/27/98
97 OSP II 57
Momson
07/22/98
98 OSP 09 19
Phipps
09/24/98
97 OSP 1122'
Chess
06/02/98
97 OSP 1134*^
Chess
06/02/98
98 OSP 0240
ReilK
06/08/98
96 OSP 0833
Chess
08/24/98
97 0SPU613*'
Gra\
07/10/98
97 OSP 0638'"
Chess
08/13/98
97 OSP 0775
Grav
07/10/98
97 OSP 0862*'
Chess
08/13/98
97 OSP 0863*
Chess
08/13/98
97 OSP 0905
Gray
11/09/98
97 OSP 1287*'-
Smith
08/20/98
97 OSP 1530*'"
Chess
08/13/98
97 OSP 1586
Smith
05/27/98
13;02NCR 257
97 OSP 1701*'=
Smith
08/20/98
98 OSP 0060
Grav
07/20/98
98 OSP 0061
Becton
07/16/98
98 OSP 0084*-
Gray
07/10/98
98 OSP 0120
Gray
07/08/98
98 OSP 0140
Phipps
10/28/98
98 OSP 01 87*'=
Smith
08/20/98
98 OSP 0271
Owens
08/13/98
98 OSP 0403*'=
Smith
08'20/98
98 OSP 0453
Smith
10/02/98
98 OSP 0454
Grav
06/04/98
98 OSP 0474
Momson
07/30/98
98 OSP 0538
Reillv
08/06/98
98 OSP 0595
Becton
07/22/98
98 OSP 0765
Momson
08/05/98
98 OSP 08 19
Smith
11/05/98
98 OSP 1035
Gray
09/21/98
97 OSP 0189
Chess
08/14/98
98 OSP 0944
Smith
08/25/98
i
i
Secretary of State
Jonathan M Demers v Department of Secretarv of State
Department of Transportation
Johnnv Shivarv Depanment of Transportation
LarrvVV Davisv Depanment of Transportation
Sherry Lvnn Noles v Department of Transportation-NCDMV
Clarice Goodwin Arthur v Department of Transportation. Femes Division
97 OSP 1018
Becton
07/07/98
13:03 NCR 343
97 OSP 1 366
Reillv
09/01/98
98 OSP 0241
Grav
07/08/98
98 OSP 0269
Chess
08/1 1 /98
98 OSP 0864
Phipps
09/24/98
(
Consolidated Cases.
926
NORTH CAROLINA REGISTER
December 7, 1998
13:11
CONTESTED CASE DECISIONS
AGENO
University of North Carolina
Douglas Love. Jr v UNC Hospitals
Deborah J Fenner \' NC Central Universit\'
Joyce M Smith v North Carolina Central University'
Edwin Swam v University of North Carolina at Chapel Hill
Patricia AG Roberts v Asst /Chan /Qty Mgmt/Dir Human Res UNCW
Leo Wattbrd. Roosevelt Parris. Claiborne Baker, et al \ University of
North Carolina at Chapel Hill
Johnn\ Johnson. Jr \ A & T St University Student LInion-Gnevance Bd
Jessie L Johnson v Bernard K Locklear, UNC at Pembroke
Jonathan L Fann \ North Carolina State University Physical Plant
Greta M Hawthorne \' University of NC al Pembroke
Robert W Brinson v NC State Universitv
Alberta .A Ingram-Peterson \ NC Central University
Fred T Jackson v UNC-Charlotte Recreational Facilities
Ronnie Bell v Dave Hillard, UNC at Charlotte
STATE TREASl RER
Hugh A Wells v Consolidated Judicial Retirement System of NC:
Bd of Trustees Teachers and State Employees' Retirement System
CASE
DATE OF
PUBLISHED DECISION
MMBER
AU
DECISION
REGISTER CITATION
97 OSP 0662
Reilly
06/08/98
97 OSP 0902
Chess
05/29/98
97 OSP 1297
Smith
06/25/98
97 OSP 1 694
Mortison
07/31/98
98 OSP 01 78
Phipps
1 0/08/98
98 OSP 0254
Chess
07/17/98
98 OSP 0299
Owens
09/02/98
98 OSP 0444
Gray
09/29/98
98 OSP 0465
Becton
07/17/98
98 OSP 0831
Chess
09/11/98
98 OSP 0887
Owens
08/10/98
98 OSP 1024
Smith
10/14/98
98 OSP 1216
Smith
10/22/98
98 OSP 1 330
Smith
11/10/98
98DST0316
Morrison
06/05/98
13:01 NCR 166
TR^\NSPORTATION
Da\ id Warren Dew et al v Motor Vehicles. Alexander Killens Comm
IM\ ERSIT\ OF NORTH C AROIJNA
Patricia D Hall v University of North Carolina at Chapel Hill
Ladonna P James \ UNC Hospitals
Joyceline Sellars \ UNC Hospitals
95 DOT 1144
Gray
06/04/98
98 UNC 0397
Reillv
08/20/98
98 UNC 0591
Becton
07/20/98
98 UNC 1113
Smith
10/22/98
13:11
NORTH CAROLINA REGISTER
December 1, 1998
927
CONTESTED CASE DECISIONS
STATE OF NORTH CAROLINA
BEAl FORT COL \T^
IN THE OFFICE OF
ADMINISTRATIN E HEARINGS
97EHR 1388
This matter was heard before Administt-ative Law Judge Beecher R. Gra_\. on September 23. 1998. in A\den. North Carolina,
on a petition for a contested case hearing to appeal Respondent's assessment of a civil penalt\ in the amount of S4000.00 plus S48 1 .30
in investigative costs against Petitioner for a discharge of animal waste to waters of the State of North Carolina.
APPEARANCES
For Petitioner:
Mickey Herrin. Esq..
Herrin & Morano
210 South Washington St.
RO. Box 552
Greenville. North Carolina 27935-0552
For Respondent:
Man. Dee Carrawav
Associate Attome\ General
N.C. Department of Justice
R O. Box 629
Raleiah, NC 27602-0629
i
ISSUE
WTiether William Hickman violated the water quality laws of the State of North Carolina. specificalK N.C. Gen. Stat. § 143-
215.1 and 15.A NCAC 2H.0217. b\ discharging animal waste into waters of the State.
The undersigned makes the following:
FINDINGS OF FACT
1 . William Hickman (hereinafter. Petitioner) owned and operated the Hickman Farm located on North Carolina State
Road 102 in Beaufort Count\. North Carolina. The Hickman Farm was operated as a concentrated swine operation up until the earh
months of 1997. Currentl_\. the facility is not functioning as a swine operation and there are no animals housed at the Hickman Farm.
2. The Hickman Farm was "deemed permitted" as a non-discharge facilir\ on Februan. I. 1993 in accordance with
15ANCAC 2H.0217 and N.C. Gen. Stat. § 143-215.1. Petitioner ne\er obtained a certified animal waste management plan for the
Hickman Farm.
3. On Januan. 27. 1997. Carl Dunn, a Di%ision of Water Quality (D\\'0) staff member from the Washington Regional
Office, \isited the Hickman Farm with emploxees of the United States En\ ironmental Protection Agenc> from the Atlanta Regional
Office. This was Mr. Dunn"s first visit to this facility. On this date, animals were stocked at the farm and the facility was operating
as a concentrated swine operation. During the course of this \ isit. Mr. Dunn obsen. ed animal wastewater flowing from three animal
waste lagoons through ditches cut from the sides of the lagoons. The animal waste flowed through the ditches to a 4-5 foot wide canal £
that led to a swamp) area situated behind the Hickman Farm. Vlr. Dunn obser\ed a continuous flow of animal waste from three m
lagoons through the ditches to the canal and to the swamp\ area. Mr. Dunn also obsen ed se\eral dead animal carcasses on site. Mr.
Dunn told Petitioner that discharging waste through the ditches and canal to the swamp_\ area was not an appropriate method of
928
NORTH CAROLINA REGISTER
December I. 1998
13:11
CONTESTED CASE DECISIONS
managing animal waste and that the waste should be kept in the lagoons. He also informed Petitioner that he should remove the dead
animals from the premises. Mr. Dunn told Petitioner that he would return to the farm in the near future to attempt to track the flow
of animal waste from the swampy area to Creeping Swamp, a "blue-line" stream on the United States Geological Survey (USGS) map.
Creeping Swamp is classified as waters of the state under N.C. Gen. Stat. § 143-212(6).
4. Discharging animal waste to waters of the State is prohibited by N.C. Gen. Stat. § 1 43-2 15.1 and the non-discharge
rules of 1 5 A NC AC 7H.02 1 7.
5. During Mr Dunn's January 27, 1997 visit to the farm. Petitioner told Mr. Dunn that the ditches and canal leading
from the lagoon to the swampy area had been in existence and in operation for over 20 years and was the primary method that he used
to manage the animal waste at the Hickman Farm. Petitioner spray irrigated liquid waste onto pasture land adjacent to the farm's hog
houses on some occasions as a second method of waste disposal. The Natural Resource Conservation Service (NRCS) in Beaufort
County (formerly the Beaufort County Soil Conservation Service) helped Petitioner design this system for managing the animal waste
approximately 20 years ago. The NRCS participated in cost sharing for the construction of this system for Petitioner Mr. Dunn
determined that Rodney Woolard of the NRCS confirmed that the NRCS did some work on the Hickman Farm in the late 1970's and
early 1980's. Notes in the NRCS file regarding the Hickman Farm reflected that the agency was involved with the design of the
lagoons. The only evidence that the NRCS designed Petitioner's system to discharge to a swamp was Petitioner's testimony to that
effect. Petitioner testified that the swampy discharge area was not swampy until he created the wet conditions by virtue of his
discharge.
6. Mr. Dunn did not see any irrigation equipment at the Hickman Farm on January 27, 1998, or on any of his
subsequent visits to the facility.
7. Inspections of animal waste facilities began in late 1 995 under direction of Governor James B. Hunt. The Hickman
Farm had been inspected by a DWQ representative three times prior to Mr. Dunn's visit in January of 1 997. There was no evidence
that any representative of DWQ ever told Petitioner that his method of handling animal waste at the Hickman Farm was acceptable
or unacceptable.
8. Mr Dunn returned to the Hickman Fann on Januan, 30. 1997, in order to attempt to track the waste from the
swampy area to Creeping Swamp. The purpose in tracking the waste was to determine whether the swampy area was hydrologically
connected to waters of the State. Although Mr Dunn did track the waste into the woods behind the swampy area, the waste ended
approximately 200 yards short of Creeping Swamp. Between the swampy area affected by Petitioner's discharge and Creeping
Swamp with its blue line creek, lies an area of high ground over which the waste does not flow. Because he was unable to track the
waste to an area designated as a "blue line" stream on the United States Geological Service (USGS) topography map, Mr. Dunn was
unsure whether the animal waste flowing from the three lagoons on site was discharging into waters of the State in violation of N.C.
Gen. Stat. § 143-215.1 and 15A NCAC 2H.0217.
9. Mr Dunn returned to the Hickman Farm on April 17, 1997 in response to a citizen's complaint. On that date, Mr
Dunn again walked from the swampy area behind the Hickman Farm into the woods in an attempt to track the waste to Creeping
Swamp. On this date, Mr. Dunn did not observe waste flowing into a "blue-line" stream on the USGS topography map. During this
inspection of the fann, Mr. Dunn informed Petitioner that he believed the swampy area behind the Hickman Farm was a Section 404
wetland under the Federal Pollution Water Control Act (Clean Water Act), and therefore an area that is classified as waters of the
State. He also told Petitioner that if he was discharging animal waste into waters of the State, he would be in violation of the General
Statutes of North Carolina as well as 1 5A NCAC 7H.02 1 7. He also informed Petitioner that he intended to ask a representative from
the U.S. Army Corp of Engineers to visit the farm to determine whether the swampy area was in fact a Section 404 wetland.
10. Mr Dunn returned to the Hickman Farm on April 21, 1997 accompanied by Mn Bill Biddlecome, an employee of
the U.S. Army Corp of Engineers. Mr Biddlecome is certified in wetlands delineation and testified that he has made hundreds of
determinations regarding the designation of areas as wetlands. On April 21, 1997, Carl Dunn observed animal wastes flowing from
the lagoons through the drainage canal into the wooded area.
1 1 . Mr Biddlecome testified that in making a wetlands determination, he considers whether a sampling point contains
hydrophatic vegetation, wetland hydrology, and hydric soils. After performing tests in a particular sampling point within the swamp
where animal waste was flowing from the canal at the Hickman Farm, Mr. Biddlecome determined that hydrophatic vegetation,
wetland hydrology, and hydric soils were present within the sampling point. Mr Biddlecome testified that based on his experience
and the presence of the three factors listed above, he determined that the sampling point was within a Section 404 wetland which is
regulated by the Clean Water Act. Mr Biddlecome did not delineate the extent of the area he considered to be a wetland; his
determination was limited to one sampling point.
13:11 NORTH CAROLINA REGISTER December 1, 1998 929
CONTESTED CASE DECISIONS
12. Before leaving the Hickman Farm on April 21. 1997, Mr. Dunn informed Petitioner of Mr. Biddlecome's
determination that the sampling point was within a Section 404 wetland. Mr. Dunn also informed Petitioner that a wetland is waters a'
of the State, and that Petitioner was illegalK discharging animal waste into waters of the State. Petitioner stated that it was his belief^
that the swamp\ area w as not a wetland because he created it b\ discharging animal waste into the area for man\ \ ears.
13. Mr Dunn also told Petitioner on April 21.1 997 that he should take some action to attempt to stop the animal waste
fi"om discharging from the lagoons to the wetlands.
14. A Notice of Recommendation for Enforcement was sent to Petitioner b\ the Division of Water Qualir\ on April
23. 1997 informing Petitioner that the Respondent was considering submittal of a Recommendation for Enforcement to the Director
of DWQ for the April 21. 1997 discharge of animal wastewater into a wetland on Petitioner's propert\ in violation of N.C. Gen. Stat.
§ 143-215.1. The Notice also informed Petitioner that a wetland is considered waters of the State of North Carolina. In addition,
the Notice instructed Petitioner to eliminate the discharge on his property. b\ damming the small ditches that carried waste from each
of the three lagoons to the drainage canal.
15. On September 28. 1997. a S4000.00 civil penalts' was assessed by the Director of the DWQ against Petitioner for
discharging waste into waters of the State in \iolation of 15A NCAC 2H.0217. The ci\il penalt) assessed represents fort) percent
of the maximum penalty authorized b\ N.C. Gen. Stat. § 143-215. 6A. Petitioner also was assessed S481.30 in enforcement costs.
16. in assessing the ci\il penalty against Petitioner. Respondent considered each of the factors listed in N.C. Gen. Stat.
§ 1 438-282. 1(b) as required b\ N.C. Gen. Stat. § 143-215. 6A(c). The statuton. assessment factors considered b\ Respondent were:
1. The degree and extent of harm to the natural resources of the State, to the public health, or to private
property resulting from the \ iolation;
2. The duration and gra\ir\ of the \ iolation:
3. The effect on ground or surface water quantit> or quality or on air quality :
4. The cost of rectify ing the damage:
5. The amount of mone\ sa\ed b> noncompliance:
6. Whether the \ iolation was committed w illfulK or intentionalK ;
7. The prior record of the violator in compKing or failing to compK with programs o\er which the
En\ironmental Management Commission has regulator}.' authorir\ : and
8. The cost to the State of the enforcement procedures. N.C. Gen. Stat. Section 1438-282. 1(b) { 1997).
17. Consideration of the assessment factors and computation of the ci\il penalty was accomplished b\ Harlan K. Britt.
then the Depur\ Director of the Di\ision of Water Qualit\. He primariK relied upon the in\estigation and enforcement reports filed
b\ Carl Dunn, the En\ ironmental Engineer who made the field inNestigations on Petitioner's farm.
18. In his report, admitted as Respondent's exhibit number se\ en (7). Carl Dunn made the following statement regarding
assessment of factor number tvvo. duration and gra\it} of the \ iolation: "[alccording to Mr Hickman, this type of \ iolation has been
the mode of operation for this farm for more than 15 >ears." Deput) Director Britt assigned significant importance to this assessment
factor in his deliberations, as shown in Respondent's admitted exhibit 13.
19. Deputv Director Britt testified that the S4000.00 ci\il penalty was for one \ iolation that occurred on the da\ of .April
21. 1997. the same da\ that Mr. Biddlecome found a sample point which fit the definition of wetlands on Petitioner's property. He
also stated that if the \ iolation had been for more than one day. each da\ would ha\e been considered a separate \ iolation and the
amount of the penalt> would ha\e been higher than S4000.00.
20. Mr. Britt testified that he did not find the \ iolation to be willful in nature.
Based on the foregoing Findings of Fact, the undersigned .Administrati\e Law .ludge makes the following:
930 NORTH CAROLINA REGISTER December L 1998 13:11
i
{
CONTESTED CASE DECISIONS
CONCLUSIONS OF LAW
1 . All parties are properly before the Office of Administrative Hearings, and the Office has jurisdiction over the parties
and the subject matter.
2. All parties have been correctly designated, and there is no question as to misjoinder or nonjoinder.
3. Petitioner violated his non-discharge permit issued in accordance with N.C. Gen. Stat. § 143-2 15.1 and 1 5A NCAC
2H.0217 on April 21, 1997, by discharging animal waste from the three lagoons at the Hickman Farm to a swampy area identified
as being a wetland on his farm.
4. Wetlands constitute waters of the state pursuant to N.C. Gen. Stat. § 143-212(6) and 15A NCAC 28.0202(64).
5. According to N.C. Gen. Stat. § 143-212(6), waters ofthe State means "any stream, river, brook, swamp, lake, sound,
tidal estuary, bay, creek, reservoir, waterway, or other body or accumulation of water, whether surface or underground, public or
private, or natural or artificial, that is contained in, flows through, or borders upon any portion of this State."
6. Pursuant to N.C. Gen. Stat. § 143-215. 6A a civil penalty of not more than ten thousand dollars ($10,000) per
violation may be assessed against any person who fails to act in accordance with the terms, conditions or requirements of a permit
required by N.C. Gen. Stat. § 143-215.1.
7. The State's enforcement costs in this matter may be assessed against Petitioner pursuant to N.C. Gen. Stat. § 143-
215.3(a)(9) and N.C. Gen. Stat. § 143-282. 1(b)(8).
8. Pursuant to N.C. Gen. Stat. § 143-21 5. 6A. the Secretary ofthe Department of Environment and Natural Resources
has the authority to issue civil penalties in this matter. The Secretary has delegated this authority to the Director of DWQ pursuant
to N.C. Gen. Stat. § I43B-I0(a).
9. In determining the amount ofthe penalty. Respondent properly considered the factors set forth in N.C. Gen. Stat.
§ 143B-282.1.asrequiredbyRC. Gen. Stat. § 143-2 15.6 A
10. In assessing a civil penalty of $4000.00 against Petitioner for discharging animal wastewater to waters ofthe state
in violation of his non-discharge permit. Respondent did not act erroneously, fail to use proper procedure, or fail to act as required
by law or rule.
Based on the foregoing Findings of Fact and Conclusions of Law. the undersigned makes the following:
RECOMMENDED DECISION
Based upon the foregoing findings of fact and conclusions of law. it is hereby recommended that Respondent's decision to
levy a civil penalt) against Petitioner for a single unpermitted discharge of animal waste, fi-om a system designed by and partially paid
for b\' the Natural Resources Conservation Service, a government agency, to a wetland located on his farm, identified by a single point
sample on the day ofthe cited violation, be reduced in amount to the sum of $500. a figure more in conformity with the evidence.
ORDER
It is hereby ordered that the agency serve a copy ofthe final decision on the Office of Administrative Hearings. P.O. Drawer
27447. Raleigh. NC 2761 1-7447. in accordance with North Carolina General Statute § 150B-36(b).
NOTICE
The agency making the final decision in this contested case is required to give each party an opportunity to file exceptions
to this recommended decision and to present written arguments to those in the agency who will make the final decision. N.C. Gen.
Stat § 150B-36(a).
The agency is required by N.C. Gen. Stat. § 150B-36(b) to serve a copy ofthe final decision on all parties and to the Office
of Administrative Hearines.
13:11 NORTH CAROLINA REGISTER December 1, 1998 931
CONTESTED CASE DECISIONS
The agencN that will make the final decision in this contested case is the North Carolina Environmental Management
Commission.
This the 6" dav of November, 1998.
(
/s/Beecher R. Gray
Administrative Law Judge
(
(
932 NORTH CAROLINA REGISTER December 1, 1998 13:11
CONTESTED CASE DECISIONS
STATE OF NORTH CAROLINA
COUNTY OF PITT
IN THE OFFICE OF
ADMINISTRATIVE HEARINGS
98 ABC 0293
NORTH CAROLINA ALCOHOLIC,
BEV ER.AGE CONTROL COMMISSION
Petitioner,
PANTANA BOBS, INC., T/A PANTANA BOBS,
Respondent.
)
RECOMMENDED DECISION
The above entitled matter was heard before Robert Roosevelt Reilly, Jr., Administrative Law Judge, on July 22, 1998, in
Halifax, North Carolina. An oral recommended decision in favor of Respondent was announced at the close of Petitioner's evidence,
upon Respondent's motion to dismiss. Respondent filed a proposed recommended decision on September 15, 1998.
Petitioner:
Respondent:
APPEARANCES
Marvin Waters, Esq.
Mark W. Owens, 111, Esq.
ISSUE
Whether Respondent's employee sold malt beverages to a person less than 21 years of age on the licen.'-ed premises on
Januar>' 11, 1998. at 12:05 a.m., in violation of G.S. 18B-302(a) (1 ),
FINDINGS OF FACT
1 . The parties received notice of the hearing by certified mail more than fifteen days prior to the hearing and each stipulated
on the record that notice was proper.
2. On Januan, 1 1. 1998, Respondent held ABC permits for its business, known as Pantana Bobs, located in Greenville, North
Carolina.
3. In the earh morning hours of January' 1 1, 1998, Alcohol Law Enforcement Agent, Jason Godwin was working for Petitioner
in his capacity as an alcohol law enforcement agent inside the premises known as Pantana Bobs Bar, Greenville, North
Carolina. At approximately 12:05 a.m. Agent Godwin observed a white male, subsequently identified as Jason Boudreaux
approach the bar area of the Respondent and speak to an emplo\'ee subsequently identified as Michael Murphy at that time.
Agent Godw in advised that he heard Mr Boudreaux request a Budweiser beer and further observed Mr. Murph\' turn and
subsequently obtain and then sold Mr. Boudreaux the requested alcoholic beverage. Agent Godwin advised that employee
Murphy did not ask Mr. Boudreaux for identification at the time that the alcoholic beverage was purchased at the bar area
of Pantana Bobs.
4. Agent Godwin testified that after observing said purchase that he (Godwin) approached Boudreaux and advised him that
he was an ALE agent and then requested of Mr Boudreaux some form of identification. Mr. Boudreaux then provided Agent
God\\in with a military ID indicating his age to be ever 21 \ears of age. Agent Godwin then escorted Mr. Boudreaux outside
of the premises and at that time wrote him a citation for use of a fraudulent or altered identification document other than a
drivers license (see 18B-202(e).
5. Agent Godwin subsequently returned to the inside area of the bar and approached employee Michael Murph>. Agent Godwin
identified himself and asked Mr. Murphy to summon the bar manager, Mr Mark Farrell. Subsequently Agent Godwin,
Murph). and Manager Farrell. met in the office area of Pantana Bobs Bar After a short period of discussion. Agent Godwin
issued a citation to emplo>ee Michael Murphy for the sale of malt beverages to one less than 21 years of age (18B-302(a).
6. Agent Godwin further testified that the physical dimensions contained inside of Pantana Bobs Bar are such that one entering
the premises has to stop at a partition and check in or be carded by an employee of Pantana Bobs upon attempted entry.
13:11
NORTH CAROLINA REGISTER
December 1, 1998
933
CONTESTED CASE DECISIONS
Agent Godwin further testified tiiat upon his observations on the evening in question. Januarv' 1 1. 1998. each person allowed
into the bar was carded and their identification checked. Agent Godwin flirther testified and reiterated that Mr. Boudreau.x
did possess a militarv ID which indicated his age to be that of over 21 years of age. a
7. Agent Godwin filed a Report of ABC Violations with the ABC Commission which issued a Notice of Alleged Violation
citing the Respondent with sale of alcoholic beverage to one under the age of 21 years of age.
8. Agent Godwin subpoenaed Jason Paul Boudreaax on or about June 29, 1998, and attempted to contact Mr. Boudreaux per-
sonalK as well as through other alcohol law enforcement agents relative to testimon\' at the hearing in questions. No attempts
were made to personalK ser\'e Mr. Boudreaux nor uere an\ attempts made to personalK locate Mr. Boudreaux even though
Mr. Boudreaux's emploxment and residence were located in Gastonia. North Carolina and easiK available to said agents.
9. Having listened to the testimon_\ of Agent Godwin, during this contested case hearing, and upon giving due consideration
to the fact that Respondent, Pantana Bobs, did in fact initially card not only Mr. Boudreaux but each and e\er\ patron as the\
entered the premises known as Pantana Bobs for identification and age requirements, it is determined that Respondent
Pantana Bobs complied with the requirements as the\ exists with respect to N.C.G.S. 1 8B-302(a) on or about January 1 1 ,
1998. at or before 12:05 a.m. (see North Carolina Alcoholic Beverage Control Commission vs. Vaz. Inc. T A Holiday Inn
89 ABC 1176).
CONCLUSIONS OF LAW
Based upon the foregoing Findings of Fact. 1 make the following Conclusions of Law.
1. The parties properK are before the Office of Administrative Hearings.
2. The esidence in this contested case, which consists primariK of the testimonx of Agent Jason Godwin, is insufficient to
support the charge filed against Respondent alleging that Respondent sold alcoholic beverage to a person under the age 21
years of age on the licensed premises on or about January 1 1. 1998.
(
RECOMMENDED DECISION
Based upon the foregoing findings of fact and conclusion of law. it is hereb\' recommended that the alleged violation noticed
against Respondent be dismissed for lack of evidence.
ORDER
It is hereb\ ordered that the agency serve a copy of the Final Decision on the Office of Administrative Hearings. Post Office
Drawer 27747. Raleigh, NC 2761 1-7447. in accordance with North Carolina General Statute 150B-36(b).
NOTICE
The agenc> making the Final Decision in this contested as is required to give each parn an opportunit> to file exceptions
to this recommended decision and to present written arguments to those in the agenc\ who will make the final decision G.S. 150B-
36(a).
The agencN is required b\ G.S. 150B-36(b) to serve a cop>' of the final decision on all parties and to furnish a cop\ to the
parties' attome\ on record and to the Office of Administrati\e Hearings.
The agenc) that will make the final decision in this contested case is the North Carolina Alcoholic Be\'erage Control
Commission.
This the 1 7"' day of September. 1998.
i
/s 'Robert Roosevelt Reilly. Jr.
Administrati\e Law Judae
934 NORTH CAROLINA REGISTER December L 1998 13:11
CONTESTED CASE DECISIONS
STATE OF NORTH CAROLINA
COUNTY OF WAKE
IN THE OFFICE OF
ADMINISTRATIVE HEARINGS
98 DOJ 0046
KENNETH EARL BRANTLEY,
Petitioner,
N.C. CRIMINAL JUSTICE EDUCATION AND TRAINING
STANDARDS COMMISSION,
Respondent.
RECOMMENDED DECISION
This contested case was heard on June 25. 1998. and August 27. 1998, in Raleigh. North Carolina by Administrative Law
Judge Beecher R. Gray.
APPEARANCES
Petitioner was represented by Charles McDarris. Esq., and Respondent. North Carolina Criminal Justice Education and
Training Standards Commission was represented by Special Deputy Attorney General Robin P. Pendergraft.
MOTION TO DEEM PETITIONER'S PROPOSAL TIMELY
Petitioner's motion to deem Petitioner's proposal timely is, for good cause shown, ALLOWED.
ISSUE
Did Petitioner commit the criminal act of assault on a female in violation of the Commission's rules?
RULES AT ISSUE
12 NCAC9A .0103(21 Kb)
12 NCAC 9A .0204(b)(3)(A)
12NCAC9A .0205(b)(1)
FINDINGS OF FACT
Stipulated Facts
1 . Both parties properly are before this Administrative Law Judge, in that jurisdiction and venue are proper, that both
parties received notice of hearing, and that Petitioner received the Proposed Suspension of Law Enforcement Officer Certification
letter mailed by Respondent on November 20, 1 997.
2. The North Carolina Criminal Justice Education and Training Standards Commission (hereafter referred to as the
Commission) has the authority granted under Chapter 17C of the North Carolina General Statutes and Title 12 of the North Carolina
Administrative Code, Chapter 9. to certify criminal justice officers and to deny, revoke or suspend such certification.
3. Petitioner successfully completed the Basic Law Enforcement Training course at the Raleigh Police Academy on
October 18. 1990.
4. Petitioner applied with the Commission for certification as a law enforcement officer with the Raleigh Police
Department in October 1990.
5. Petitioner was issued a probationan,' certification (PRA 2384 1 2630) by the Commission effective October 1 9, 1 990
to serve as a law enforcement officer with the Raleigh Police Department.
6. Petitioner was issued a general certification on October 19, 1991 (GNA 238412630) by the Commission to serve
as a law enforcement officer with the Raleigh Police Department.
13:11
NORTH CAROLINA REGISTER
December 1, 1998
935
CONTESTED CASE DECISIONS
7. On April 4. 1996. Petitioner in his capacit>' as a Raleigh Police Officer cited Michelle McClure. a female bom on
May 30. 1975. with the infraction of "Underage Possession of Alcoholic Beverage" in violation of N.C.G.S. §18B-302(B){1) and
the misdemeanor criminal offense of "Possession of Alcoholic Beverage on Cit> Property" in violation of Raleigh City Ordinance ^
12-4001. Ms. McClure pled guilty to these charges on May 2, 1996, and was placed in the First Offender Alcohol Education Program, ^
which she successfully completed.
8. On June 10. 1996. the Petitioner was served with a criminal summons charging him with the criminal offense of
Assault on a Female on Michelle McClure on April 4, 1996. in violation of N.C.G.S. § 14-33(b)(2). Petitioner pled "not guilty" to
and was found "guilty" of Assault on a Female b\ the Honorable Michael R. Morgan on August 2. 1996 in Wake Count> District
Court. Petitioner appealed to Superior Court wherebv the District Attome\ took a voluntary dismissal on March 12. 1997.
9. After a review of the internal affairs investigation and other documentation, the Raleigh Police Department on
August 20. 1996 found that the facts did not support an allegation of excessive force against Michelle McClure nor the specific
allegation of discourtes\. The Department did find, however, that Petitioner had used unnecessan. force in violation of Raleigh"s
Use of Force Polic\ and used poor judgment.
10. Petitioner separated from the Raleigh Police Department on August 23. 1996.
Adjudicated Facts
1 1. Michelle McClure. a resident of Raleigh. North Carolina, is a 1997 graduate of North Carolina State University
(NCSU) and currently works as a junior recruiter at a company in Morrisville. North Carolina.
12. On April 4. 1996 while a junior at NCSU. Ms. McClure and her roommate threw a part\ at her townhouse in Falcon
Ridge Subdivision. This residential area is comprised of students and young professionals. Ms. McClure was 20 \ears old at the time.
Her 23 >ear old roommate purchased a keg of beer for the partv'.
13. The party at Ms. McClure"s began at 9:00 p.m. K.enle\ Adam Johnson, a friend from high school came to the party.
At about 1 1 :00 p.m.. Ms. McClure walked Mr. Johnson out her backdoor to his car parked on the street behind her house. She had
an 8 ounce cup of beer in her hand. The\ talked while Mr. Johnson leaned against his car door. Although he was 21 years old, Mr.
Johnson was not drinking alcoholic beverages that night.
14. While outside Ms. McClure saw a marked police car dri\e up the street with blue lights flashing. The police car
pulled in front of Mr. Johnson's car, Ms. McClure panicked and handed her cup to Mr. Johnson.
15. When Ms. McClure turned toward the police car. she saw Petitioner, a uniformed Raleigh Police Officer, running
toward her and Mr. Johnson. Petitioner grabbed her bv the arm and screamed repeatedly "where's the cup." He appeared ver\ angr\.
Ms. McClure stated she threw up her hands because she belie\ed Petitioner was going to hurt her. She conceded that she initialK
told Petitioner she did not ha\e a cup.
16. Petitioner grabbed Ms. McClure around her upper right arm with his hand and "dragged her" to his police car in
a quick and forceful manner. At the time Ms. McClure was 5'3" tall and weighed between 115-117 pounds. She began crying but
did not kick, scream. \ell or resist Petitioner in an\ physical way.
1 7. Ms. McClure told Petitioner he was hurting her. Petitioner sho\ed Ms. McClure up against the police car. While
pushing Ms. McClure against the car. Petitioner pulled out his handcuffs. He stopped to ask Susan Hull, a friend of Ms. McClure's
who was watching this encounter, if he could help her. When Ms. Hull replied "Fm concerned about m>- friend." Petitioner put the
handcuffs awa\ and pushed Ms. McClure into the back of the patrol can
18. Mr. Johnson also was placed in the patrol car while Petitioner searched in the nearb}. field with his flashlight.
Petitioner removed Ms. McClure from the car and then placed her back into the patrol car. Petitioner told Ms. McClure something
to the effect that she "had realK screvsed up now."
19. Petitioner asked Mr. McClure for some sort of identification. She pro\ided her name, address, social security
number and her dri\er's license number but was unable to produce her dri\er"s license since her wallet was inside her house.
Petitioner informed Ms. McClure that he was taking her to jail because she could not produce a driver's license. Ms. Hull. Ms.
McClure's friend, ran inside the townhouse and returned with Ms. McClure's driver's license.
936 NORTH CAROLINA REGISTER December I, 1998 13:11
i
K
CONTESTED CASE DECISIONS
20. Ms. McClure informed Petitioner that there was only one cup of beer and it was hers, not Mr. Johnson's. She
admitted to the officer she had "told him a tale." Petitioner issued citations to both Ms. McClure and Mr Johnson.
2 1 . Kenley Adam Johnson is a graduate of NCSU and is currently employed with Nationwide Insurance. On April 4,
1996, Mr. Johnson stopped by Ms. McClure's party for about 1 to 1 '^ hours. Ms. McClure walked him to his car which was parked
on Kaplan Drive. Although he was 2 1 years old at the time, he consumed no alcoholic beverage at the party.
22. While Mr. Johnson and Ms. McClure were talking beside his car, Ms. McClure stuck her beer cup in his hand. He
then saw a marked police car with flashing blue lights pull in front of his parked car and stop.
23. Mr. Johnson observed Petitioner immediately get out of his patrol car. walk quickly and abruptly up to where the
two were standing, and confront them. Petitioner asked Ms. McClure where the cup was. Ms. McClure denied having the cup.
24. According to Mr. Johnson, Petitioner had a confrontational tone and appeared upset and visibly angry. He became
angry when Ms. McClure denied having a cup in her hand.
25. Petitioner told Ms. McClure "that's enough", took her by the arm and quickly led Ms. McClure to his patrol car
in a forceful manner Ms. McClure had difficulty keeping up with him. He heard Ms. McClure tell the officer that he was hurting
her.
26. Mr Johnson stated Ms. McClure did not resist the officer in any way. She did not tr\ to run from him nor did she
hit him.
27. Once Petitioner had Ms. McClure in his patrol car. he returned to Mr. Johnson who had remained standing by his
parked car. Petitioner asked Mr Johnson if there was another cup of beer to which Mr. Johnson replied no. Petitioner asked Mr.
Johnson to get inside the patrol car and never grabbed Mr. Johnson. Petitioner frisked Mr Johnson before he got into the patrol car.
28. While bo.ii students were inside the patrol vehicle. Petitioner talked with Ms. McClure. Mr Johnson added that
when Ms. McClure attempted to tell Petitioner the truth, the angrier Petitioner became. He told her she had really screwed up and
could go to jail for this. Thereafter, Petitioner removed Ms. McClure from the car, pushed her up against the car, and then returned
her to the patrol can
29. Petitioner then got Mr Johnson out of the patrol car, frisked him a second time, obtained an ID from Mr. Johnson,
and issued him a citation.
30. During cross-examination, Mr Johnson indicated that Petitioner was physically forceful with Ms. McClure and
verbally forceftil with him. He added that the officer did not need to use as much force as he did with Ms. McClure.
3 1 . Mr. Johnson is 6'4" tall and weighs 1 85 pounds.
32. Susan Elizabeth Hull is a 1998 graduate of NCSU and current!) emploved as an accountant. On the night of April
4, 1996. she drove to her friend Michelle McClure's townhouse to attend a part\ there. As she turned onto Kaplan Drive, she was
behind a marked police car The patrol car's blue lights came on and the car pulled over She observed Ms. McClure standing on
the side of the road so she parked her car and rolled her w indou down.
33. Ms. Hull saw Petitioner get out of his patrol car. run toward Ms. McClure while yelling at her He looked very
angr%'. Petitioner grabbed Ms. McClure around her upper arm by his hand and pulled her to the police car. She never observed Ms.
McClure resist the officer in any way.
34. Ms. Hull heard Ms. McClure ask Petitioner to let her get her ID. but Petitioner said "it doesn't matter. I'm taking
you to jail." She observed Petitioner "slam Ms. McClure up against the side" of the police car and pull her arms behind her back.
Petitioner did not place handcuffs on Ms. McClure. but "shoved" her into the police car and closed the door
35. According to Ms. Hull. Petitioner appeared surprised to see Ms. Hull, who by this time had gotten out of her car
and was standing in the street, watching the encounter He said to her in a "nast) tone of voice." "Can I help you?" Ms. Hull replied
that she was concerned about what was going on because Ms. McClure was her friend. Petitioner told her to get Ms. McClure's ID.
which she did.
13:11 NORTH CAROLINA REGISTER December 1, 1998 937
CONTESTED CASE DECISIONS
36. Petitioner released Ms. McCiure from his car about 30-45 minutes later. When she returned to her townhouse, she
was ver>' upset. cr>'ing and hysterical.
37. Ms. Hull described the bruise on Ms. McClure's right arm as being "bright pink" and appearing as if it had been
"mauled." Mr Johnson returned to Ms. McClure's home about two hours after the incident to check on her. He found Ms. McClure
vePi upset and en. ing. Mr Johnson observed a red mark on Ms. McClure's arm from where Petitioner had grabbed her.
38. Ms. McClure indicated that as a result of this encounter with Petitioner, she received a bruise on her arm which was
red and swollen, and her breast was tender and sore. Within 7 da\'s after the incident. Ms. McClure had photographs taken of her arm
showing the bruised area.
39. After talking with her parents. Ms. McClure filed a complaint with the Raleigh Police Department. Ms. McClure.
Mr. Johnson and Ms. Hull consented to taped interviews with Lt. Dennis R. Lane from Raleigh's Internal Affairs Division. All three
wimesses testified in Wake Count\ Criminal District Court. Ms. McClure requested that the Wake Count\ District Attome\ 's Office
dismiss this matter on appeal in superior court because she was trving to graduate from school at the time and she found the entire
matter to be stressful and extremeK traumatic.
40. Lt. Dennis Lane testified that prior to August 1997 he supervised 39 detectives and conducted investigations for
Raleigh Police Department Internal Affairs Division. After Sgt. J.R. Fluck took the original complaint, he was assigned the
investigation. Lt. Lane waited for a resolution in criminal court of the charges against Ms. McClure before beginning his
investigation. In accordance with established procedures. Lt. Lane completed his investigation and then took the case file to the Wake
Count) Chief Magistrate for determination of probable cause. After the magistrate found the existence of probable cause. Lt. Lane
advised Raleigh's police chief and then contacted Ms. McClure. A criminal summons for assault on a female was issued and served
on Petitioner.
41. Lt. Lane explained that Raleigh police officers are trained to utilize force along the following use of force
continuum: officer presence; verbal commands; soft hands; pepper sprav ; strike; and deadlv force.
42. Raleigh police administrators reviewed this matter involving Petitioner's action toward Ms. McClure and found
that he had used poor judgment and unnecessarv force. The Review Board recommended his termination from the Raleigh Police
Department.
43. Based upon his e.xperience, Lt. Lane stated that 6 or 7 complaints against an officer in a 10 year period v\ould be
an excessive number. Petitioner had 1 5 complaints in his almost six vears w ith Raleigh prior to this incident involving Ms. McClure.
44. Petitioner tesrified that he is 3 1 vears old. lives in Raleigh and joined the Raleigh Police Department in June 1990.
45. On April 4. 1996. Petitioner was working 3rd shift ( 10:45 p.m. - 6:45 a.m.) in an assigned area near NCSU. That
night he drove onto Kaplan Drive and saw Ms. McClure standing with a keg cup in her hand. He thought this might constitute an
alcohol violation. When he no longer sav\ the cup in her hand, he knew he had a littering violation at a minimum. Petitioner turned
on his patrol car's blue lights and stopped.
46. Petitioner stated he walked quickly to Ms. McClure and Mr. Johnson and asked ""where's the cup?" Ms. McClure
denied having a cup. Petitioner did not sav anvthing to Mr. Johnson at first because he did not think Mr. Johnson had a cup.
47. Petitioner said that he took Ms. McClure bv' her left arm using his hand in a "cupped" fashion and escorted her to
his car. He denied assaulting her at all. Petitioner explained that Ms. McClure was not ver\ cooperative; she did not come along with
him but ""hung back." Petitioner did not ask Ms. McClure to go with him to his patrol car. but said "let's go" at the same time he put
his hand on her. Petitioner did not hear Ms. McClure say he was hurting her. He admitted that he became angn. because she v\as
not truthful to him. Petitioner described Mr. Johnson as cooperative.
48. After Petitioner searched the field for the keg cup. he returned to the patrol car and got Ms. McClure out of car to
arrest her because she had no identification, but changed his mind.
49. Petitioner noticed Ms. Hull staring at him from across the street. He asked her "max I help \ ou?" Ms. Hull complied
v\ ith Petitioner's suggestion that she retrieve Ms. McClure's ID. Thereafter Petitioner issued citations to both Ms. McClure and Mr.
Johnson.
938 NORTH CAROLINA REGISTER December 1, 199H 13:11
i
\
i
CONTESTED CASE DECISIONS
I
50. Petitioner stated that he did not use excessive force, but acted appropriately for the situation.
5 1 . Petitioner added that he was taught to make an arrest for minor violations including infractions if the suspect could
not produce an ID.
52. In 1996, Petitioner was required to attend a school for improving his communication skills.
53. Petitioner introduced 1 6 letters of reference or commendation from Petitioner's personnel file, ranging in date from
February 1992 to December 1995. Petitioner also submitted two annual Performance Evaluations for the 6/4/94 to 6/4/95 period and
the 6/4/95 to 6/4/96 period. While Petitioner received "above standard" overall evaluations on these reports, he received a standard
rating on each for quality of work, which included using good judgment and oral communication, and personal conduct.
54. Under N.C.G.S. § 14-33(b)(2) the criminal offense of assault on a female is assault by a male person over the age
of 18 years upon a female. The term assault includes an overt act, with force and violence, to immediately physically injure another
person.
55. Under N.C.G.S. § 15A-401, law enforcement officers have the authority to utilize reasonable force in certain
circumstances. The officer exceeds this statutory authority and is not justified when he uses unreasonable or excessive force.
CONCLUSIONS OF LAW
1 . The Office of Administrative Hearings has jurisdiction to hear this contested case pursuant to Chapters 1 7C and
150B of the North Carolina General Statutes.
2. The North Carolina Criminal Justice Education and Training Standards Commission has authority pursuant to
N.C.G.S. §§ 17C-6 and 17C-I0 to establish minimum standards for the certification of persons to be employed and retained as
criminal justice officers.
3. Under the factual circumstances presented in this case. Petitioner exceeded the authority to use force against a
citizen, and thus the physical force he exerted against Ms. McClure was unjustified, unreasonable and excessive. An officer loses
the protection afforded official action by G.S. 15B-401 when he uses unreasonable force against an individual, thus converting what
may have begun as a lawful act into an unlawful assault or battery. Kuykendall v. Turner , 61 N.C. App. 638, 301 S.E. 2d. 715 (1983).
4. There is sufficient evidence to conclude that Petitioner committed the acts necessary to satisfy the elements of
assault on a female set out in N.C.G.S. §14-33.
5. Respondent has sufficient cause to suspend Petitioner's certification as a law enforcement officer for committing
the Class B misdemeanor offense of assault on a female in violation of 12 NCAC 9A .0204(b)(3KA).
PROPOSED DECISION
Based upon the foregoing findings of facts and conclusions of law, it is hereby proposed that the North Carolina Criminal
Justice Education and Training Standards Commission suspend Petitioner's law enforcement officer certification.
NOTICE
The agency making the final decision is this contested case is required to give each party an opportunity to file exceptions
and proposed findings of fact and to present oral and written arguments to the agency. N.C.G.S. § 150B-40(e).
A copy of the final agency decision or order shall be served upon each party personally or by certified mail addressed to the
party at the latest address given by the party to the agency and a copy shall be furnished to his attorney of record. N.C.G.S. § 1 50B-
42(a). It is requested that the agency furnish a cop\ to the Office of Administrative Hearings.
The agency that will make the final decision in this contested case is the North Carolina Criminal Justice Education and
Training Standards Commission.
13:11 NORTH CAROLINA REGISTER December 1, 199H 939
CONTESTED CASE DECISIONS
This the 4"^ dav of November. 1998.
/s/Beecher R. Gray
Administrative Law Judge
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NORTH CAROLINA REGISTER
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